Currently seeking multiple Compliance Managers within the Financial Services/Banking industry in the Orlando, FL area!
Essential Duties & Responsibilities:
- Managing a team of 15 Case Workers and 1 Team Lead within the LOB (Line Of Business) Complaints Team
- Independently logs, researches, routes or responds to escalated or urgent requests regarding complaints that are high visibility, high risk and/or regulatory in nature.
- Responsible for monitoring team metrics such as quality, production, attendance and risk issues.
- Exception processing of acknowledgement letters conducting investigative steps to identify issues and working with internal partners to resolve
- Identifying trends and providing feedback/reporting to appropriate party
- Uploading of companies response to a customer facing Regulatory Portal which requires special handling and/or imaging/uploading documentation to other repositories as required; reviewing new correspondence and existing cases to identify related issues
- Establishing case files or redirecting requests to the applicable business group
Mitigating risk by identifying key information and ensuring compliance guidelines are met; logging requests or complaints
- Reviewing incoming correspondence from customers, attorneys, third parties or regulatory/governmental representatives and other agencies
- Performing intake to determine appropriate course of action
- Performing research and reviewing existing cases to identify related issues.
- 5+ years of experience in one or more of the following environments: customer or investor-facing, disputes, claims, or fraud resolution
- 1+ year of leadership, supervisory, or management experience leading at least 5 people in the financial or business services field
If interested, please email resume or call me at 407-754-2542.
About Aston Carter:
Aston Carter is a distinguished global provider of recruitment and staffing services to companies requiring highly specialized business professionals. As a Best of Staffing® Client and Talent leader, Aston Carter has an unrivaled commitment to delivering first class service to clients and business professionals across a variety of disciplines, including Accounting and Finance as well as Governance, Risk and Compliance. With more than 60 offices across Europe, Asia Pacific and North America, Aston Carter provides local, regional and global expertise to drive value and meet our customers' unique needs. Aston Carter is a division of Aerotek. Aerotek is an operating company of Allegis Group, a global talent solutions provider.