Complaints Compliance Specialist III

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The Compliance Specialist III - Complaints works directly with a Compliance Manager to meet the requirements of the assigned area of the Compliance Management Program which includes maintaining a process for the proactive, accurate, and timely dispositioning, evaluation, resolution of consumer complaint. The Compliance Specialist III provides assistance to management in order to maintain a compliant culture.

Essential Duties and Responsibilities

• Gathers, investigates, and analyzing data/information to identify potential process failures, violations of law/regulation, and consumer harm, al while maintaining the confidentiality of sensitive information.

• Researches, reviews, and interprets existing laws and regulations relative to each complaint.

• Documents conclusions, develops recommendations, and performs follow-up activities as necessary to determine the effectiveness of corrective actions.
• Prepares clear, concise, and accurate responses to consumers or agencies using correct grammar and appropriate writing style within established timeframes.

• Assists the Compliance Manager in establishing and modifying standards, policies, and procedures which affect compliance.

• May develop and maintain training and awareness programs to ensure the company is meeting internal and regulatory requirements.

• Works directly with the Compliance Manager to meet the requirements of the Compliance Management Program, which includes associate training, conducting internal assessments, and board reports.

• Provides ongoing assistance and support to the Compliance Manager in administrative responsibilities.

• Provides input relative to compliance and regulatory matters.

• Ensures that all departmental documents and activities are performed in compliance with applicable laws, regulations, policies and procedures as applicable to this position, including completion of required compliance training.

• Performs other duties and responsibilities as assigned.

Qualifications

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.

Skills

• Ability to read and comprehend simple instructions, short correspondence, and memos.

• Ability to read and interpret documents such as procedure manuals, general business correspondence, and/or journals or government regulations.

• Ability to read, analyze and interpret financial reports and/or legal documents.

• Ability to write simple-to-business correspondence, routine reports, and procedures.

• Ability to respond, in writing, to customer complaints, regulatory agencies, or members of the business community.

• Ability to effectively speak and present information in one-on-one and small group situations, to customers, clients, and other employees in the organization.

Education and/or Experience

• BS/BA Degree (4 year) from an accredited university/college or two to four years' experience in equivalent compliance position required.

• CRCM certificate or three years of experience in compliance assessments plus broad knowledge of consumer compliance regulations required.

Specialized Training

• Computer Skills

• MS Word, Excel, PowerPoint, and Database programs

Other Qualifications (including physical requirements)

• Must have good time management and organizational skills.

• Must have excellent oral and written communication skills.

• Must have good problem solving skills.

• Must have the ability to read, analyze, and interpret government regulations, trade journals, and legal documents.

• Must have the ability to effectively respond to common inquiries from associates and internal audit groups.