Compliance Complaints Investigations - Banking SME
Core
Investigate complex customer complaints involving consumer banking, lending products, and regulatory obligations to determine root causes and deliver fair resolutions.
Role type
Senior Compliance Complaints Investigator (Banking SME)
Builds
Clear, well-supported case files and regulatory responses for customers and agencies
Domain
Consumer Banking & Lending Compliance
Deliverable
client delivery
Required skills
Investigative skills, root-cause analysis, regulatory research, case documentation, risk assessment, trend analysis, evidence evaluation, judgment in ambiguous situations, time management
Preferred skills
Knowledge of AI/technology for case management, understanding of consumer protection expectations
Technologies
Microsoft Word, Excel, PowerPoint, servicing systems
Responsibilities
Independently investigate complaints involving consumer banking and lending products; Review account records, transaction history, and supporting evidence; Analyse complex cases and establish facts; Prepare clear responses to customers and regulatory agencies; Maintain accurate case files documenting findings and corrective actions; Identify root causes and operational gaps; Classify complaints using regulatory criteria; Escalate legal or regulatory concerns; Support complaint risk assessments.
Seniority
Mid-Senior, hands-on IC