This job ad has been posted over 40 days ago...
Vice President, Customer Complaints
at The Compliance Search Group in New York
Investment bank seeks a Compliance professional for their customer complaints review and resolution group.
The purpose of this client facing role is to manage the firm’s customer complaint response efforts, which includes recording, categorizing, investigating and responding to customer complaints and related regulatory inquiries when necessary.
The candidate will work very closely with the investment representatives, client services associates, branch administrative management, the central Business Control Unit, and the firm’s Legal and Compliance groups.
The candidate will be responsible for categorizing and reporting complaints in accordance with regulatory guidelines, fully investigating matters and ultimately recommending a course of action to bring the complaint to a close. The candidate will also be responsible for maintaining the firm’s complaint files, liaising with audit and senior management.
Core accountabilities:
• Educating Investment Representatives and Sales Assistants to what customer complaints are
• Recording and responding to complaints
• Investigating complaints
• Reporting complaints to Regulators and senior management
• Produce MIS reporting: trends, causes, patterns, etc.
• Maintain litigation settlement information
Supervisory responsibilities:
• The individual will be responsible to supervise and direct the appropriate responses to clients regarding their complaints.
• Key clients (internal and external):
• Admin Managers -Branch Managers - Clients
Position Requirements
• Minimum of 5+ years relevant professional experience
• Ability to write and verbally communicate well
• Must be able to work under pressure and dialogue with client’s counsel
• Knowledge regarding customer complaint process
Academic and professional qualifications
• College Degree. Legal Degree or other advance degree preferred
• Legal/Paralegal experience a plus
Language skills
• Spanish a plus
Personal attributes
• Thoughtful and creative -Diligent -Hard working -Organized -Approachable -Collegial -Responsive -Helpful
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
The purpose of this client facing role is to manage the firm’s customer complaint response efforts, which includes recording, categorizing, investigating and responding to customer complaints and related regulatory inquiries when necessary.
The candidate will work very closely with the investment representatives, client services associates, branch administrative management, the central Business Control Unit, and the firm’s Legal and Compliance groups.
The candidate will be responsible for categorizing and reporting complaints in accordance with regulatory guidelines, fully investigating matters and ultimately recommending a course of action to bring the complaint to a close. The candidate will also be responsible for maintaining the firm’s complaint files, liaising with audit and senior management.
Core accountabilities:
• Educating Investment Representatives and Sales Assistants to what customer complaints are
• Recording and responding to complaints
• Investigating complaints
• Reporting complaints to Regulators and senior management
• Produce MIS reporting: trends, causes, patterns, etc.
• Maintain litigation settlement information
Supervisory responsibilities:
• The individual will be responsible to supervise and direct the appropriate responses to clients regarding their complaints.
• Key clients (internal and external):
• Admin Managers -Branch Managers - Clients
Position Requirements
• Minimum of 5+ years relevant professional experience
• Ability to write and verbally communicate well
• Must be able to work under pressure and dialogue with client’s counsel
• Knowledge regarding customer complaint process
Academic and professional qualifications
• College Degree. Legal Degree or other advance degree preferred
• Legal/Paralegal experience a plus
Language skills
• Spanish a plus
Personal attributes
• Thoughtful and creative -Diligent -Hard working -Organized -Approachable -Collegial -Responsive -Helpful
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
Published at 05-03-2010
Viewed: 26 times
Viewed: 26 times