Manager Compliance, Regulatory Complaints

Manager Compliance, Regulatory Complaints

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Responsibilities include :

• Coordinate intake of client complaints, including inputting and maintaining complaints within the database, communicating with Branch Compliance Managers, preparing and handling complaint acknowledgement letters, obtaining the required documentation and supporting material to prepare the complaint file for analysis.
• Report complaints and updates, internal investigations and other reportable events through the regulator’s reporting system called Complaints and Settlement Reporting System (ComSet).
• File preparation through the stages (onboarding to closure).
• Assist the team with the coordination of documentation in support of internal or supervisory investigation and / or regulatory inquiries.
• Assist with regulatory complaint analysis.
• Assist with RCII monthly and quarterly reporting requirements.
• Manage documents and communications for task related to regulatory inquiries.
• Monitor and manage RCII shared mailboxes.
• Other initiatives as required.

What do you need to succeed?

Must-have

Nice-to-have

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Inclusion and Equal Opportunity Employment

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