Job Description

Responsibilities

Team Leadership and Oversight

  • Provide strategic leadership to a team responsible for the initial review of client complaints and supervisory investigations, ensuring timely and consistent resolution aligned with regulatory and corporate standards.

  • Manage the supervisory review process, including identifying trends and overseeing analysis and remediation recommendations.

  • Review, support and decision escalated recommendations on business approvals (such as leverage reviews, campaigns and contest recommendations and referral arrangements).

  • Cultivate collaborative relationships with clients, Advisors, Regional Management, and internal stakeholders to support business efforts.

  • Mentor and develop Compliance staff by offering guidance on supervisory review techniques, regulatory interpretation, and professional development.

  • Analyze investigation outcomes to detect patterns, identify roo...

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