Compliance Manager, Complaints

Description

The Complaints Compliance Manager is responsible for maintaining the Complaints Management Program in support of the Bank’s Compliance Management Framework to meet the ongoing objectives of Stride Bank and to ensure all banking rules, regulations, and statutory requirements are met.

PRINCIPLE DUTIES AND RESPONSIBILITIES

1. Leads a team of Complaints Analysts in tracking, analyzing, and reporting customer complaints.
2. Provides guidance to staff regarding complex compliance issues.
3. Evaluates team member performance through quality assurance reviews, performance evaluations and coaching.
4. Fosters a positive work environment focused on developing individual team member skills through learning and growth opportunities.
5. Maintains a Complaints Management Program, procedures and processes to ensure complaints are researched and resolved sufficiently and timely.
6. Establishes and maintains systems and processes to effectively monitor performance of Stride Bank’s products, services, and customer experiences.
7. Collaborates with compliance teammates and business partners to conduct research and assess potential risks or concerns.
8. Provides comprehensive management reports that identify trends, areas of weakness, issues that have arisen from complaints, lessons learned and actions that can be taken to prevent future complaints.
9. Reviews complaint resolutions and responses to ensure customer concerns are adequately addressed.
10. Delivers and explains difficult messages, when necessary.
11. Analyzes complaint data and prepares reports with sufficient detail to help Senior Management understand any issues noted.
12. Provides reports to Senior Management and the Board on overall complaint results and trends.
13. Provides periodic status reporting to the various Management and Board level governance committees.
14. Serves as a resource for internal and external compliance inquiries, conducting research and providing support/guidance as necessary.
15. Participates in any third party (OCC, VISA, etc.) audit requests pertaining to compliance.
16. Leads special projects and initiatives as assigned.
17. Performs other duties as assigned.

Qualifications

EDUCATION AND/OR EXPERIENCE

• Bachelor’s degree, or equivalent work experience, required.
• 5-7 years’ experience in banking industry, required.
• CRCM certification, preferred.

KNOWLEDGE, SKILLS, AND ABILITIES

• Ability to work in a fast paced and rapidly evolving market.
• Strong analytical and conceptual thinking skills, with the ability to solve problems and make decisions using data.
• Knowledge of existing and emerging bank regulations.
• Knowledge of audit processes and compliance with required reporting.
• Ability to analyze compliance procedures and standards.