Compliance Specialist


The Compliance Specialist reports to the Compliance Officer and is responsible for developing and delivering solutions for escalated customer inquiries. The Compliance Specialist will need to work across teams to build process improvement and innovation gained from review of customer complaints.

compliance specialist
Primary Responsibilities

The Compliance Specialist is expected to oversee all escalated and regulatory complaints and ensure timely resolution to correspondence and pending litigation. Specifically, this person will:

  • Research and resolve escalated complaints including complaints received from attorneys, BBB, and regulatory agencies. Complete investigation of the issue in order to respond timely and thoroughly. Timely response is generally within 48 hours. Also, maintain and update an escalated complaint log.
  • Properly notate all legal correspondence and work with management and company counsel as needed to provide timely responses to subpoenas and other court requests. Also, maintain and update a litigation log.
  • Complete general customer service correspondence via email, text, and mail as assigned ensuring less than a 48-hour response time.
  • Strictly adhere to department standards for maintenance of customer accounts and consistently maintain current customer, collateral, and status information on all accounts.
  • Ensure all correspondence completely addresses the customers’ issue and is free of grammatical and usage errors. As a Compliance Specialist, provide first level letter review for compliance on outbound correspondence.
  • Collaborate and be the voice of the customer with other departments to ensure that customer complaint feedback is broadly known and corrective steps are followed for improved customer experience.
  • Maintain and update templates used for customer correspondence, such as repossession notices.
  • Ensure the credit reporting manual is following in order to furnish accurate information about customers to the appropriate reporting agencies.
  • Maintain knowledge of credit reporting rules and guidelines in order to use standard reporting electronic transmission to send customer reporting files to the appropriate credit reporting agencies once each month.
  • Perform other duties as assigned.
  • Bachelors in Business Management, Computer Science, or related field is preferred. High School diploma with some college required.
  • 3 years of experience in customer service, legal research, compliance or related field.
  • Ability to communicate effectively with various audiences including customers, team members, and attorneys, through written and verbal means.
  • Solid organizational skills, ability to work across teams, ability to focus on broader goals and customer level details simultaneously, and ability to multi-task effectively.
  • Strong working knowledge of computer software including Microsoft Office and Loan Servicing Software required (Nortridge preferred).

If you are interested and would like to apply for this position, please click here.