Compliance manager Jobs in Phoenix az

Job Description

Job Description

Description :

The Compliance Manager will manage three distinct job functions : Change Management, Policy and Procedure Management and Complaint Management. These teams are designed to be flexible in their knowledge allowing team members to process work on diverse subjects. The individual will establish and maintain contacts within the various lines of business leaders so that quality responses are provided in all three areas.

About Servbank :

Founded in 1994, Servbank is a banking institution with local roots and national reach. We were built on a foundation of community-orientation, which ensures that no matter who we serve, we do so with the human touch that marks the gold standard of service. We work with individuals, businesses, and communities, so that whether you’re a student, a homeowner, a small business owner, or a community leader, we can help you fulfill your goals. Come create excellence with Servbank.

Responsibilities include :

• Provide oversight of Complaint Queue, Policy and Procedure Queue and Change Management Queue in Servhub.
• Demonstrate ability to identify process improvement and efficiency opportunities.
• Demonstrated ability to lead a team and inspire a growth-mindset.
• Track corresponding KPIs and report accurately in a timely manner.
• Review formal complaint responses, policy and procedure redlines, Change Management tasks and Weekly Wrap Up’s for clarity and quality.
• Prepare for monthly Complaints Committee meetings by developing an agenda, prepare monthly complaint reports to the applicable board committees, and distributes all relevant information to the participating members at least 1 day prior to the meeting.
• Prepare for quarterly Complaints Committee meetings by developing an agenda, prepare monthly complaint reports to the applicable board committees, and distributes all relevant information to the participating members by the time designated on the applicable task created by the Chief Compliance Officer for Risk Committee.
• Consistently update tasks with evolving details so that the task provides a complete narrative from inception to completion.
• Review information provided for clarity and specifics. Ask clarifying questions, identify gaps in information and validate the information provided when possible.
• Identify patterns of complaints that would warrant the creation of corrective action plans.
• Demonstrate ownership of assigned issues and work proactively with the lines of business and vendors until complete resolution.
• Periodically review the various tracking systems are updated in a timely manner with complete and accurate information.
• Must be a self-starter willing to demonstrate leadership, proactivity and a team building approach.
• Conduct regulatory research and data analysis.
• Host monthly calibration call between the Formal, Informal, and Customer Experience departments to identify trending across all complaint forums. Escalate any trending issues to the VP of Compliance to determine if an Emerging Issue is warranted.
• Participate and / or Lead Compliance and Team Rock projects.
• Assist with internal / external audit responses, as required.

Requirements :

Education and Experience

EEO Statement :

We’re an equal opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status.