Compliance Response Specialist I
Core
Supports the administration and execution of compliance response activities, managing matters from complaints and regulatory examinations to audit inquiries and issue remediation.
Role type
Compliance Response Specialist
Builds
Accurate, timely, and well-documented responses to regulatory and business inquiries
Domain
Financial services compliance
Deliverable
client delivery
Required skills
root cause analysis, regulatory requirements knowledge, issue management, remediation processes, stakeholder coordination, deadline management, trend analysis, process improvement
Preferred skills
experience interacting with regulatory agencies, knowledge of financial-services controls
Technologies
Microsoft Office
Responsibilities
Support compliance response workflows from intake through closure; Coordinate with managers and business partners to ensure matters are handled accurately; Assist with preparing responses to regulatory requests, audits, and complaints; Gather and synthesize information into clear response materials; Track corrective actions and validate completion; Conduct root cause analysis to support control improvements; Contribute to compliance reporting and metrics; Monitor regulations and industry practices; Maintain accurate documentation of sensitive information.
Seniority
Individual Contributor, 2+ years experience