Compliance Analyst

Job Summary:

The Compliance Analyst – Consumer disputes and complaints is responsible for managing and remediating consumer disputes and complaints in accordance with regulatory requirements, internal policies and procedures, and the Firm’s client’s requirements.  This role includes reviewing and investigating consumer complaints and disputes, ensuring timely and accurate responses, and identifying trends or systemic issues that may pose compliance risks.  The analyst works closely with operational, call monitoring, client services, and compliance departments.  Additionally, the analyst contributes to root cause analysis, continuous improvement efforts, and compliance reporting to support a strong consumer protection framework.

Essential Duties and Responsibilities:

This list of duties and responsibilities is not all inclusive and may be expanded to include other duties and responsibilities as management may deem necessary. 

• Review, investigate, and resolve consumer complaints and disputes in compliance with application laws and regulations.


• Ensure timely and accurate responses to complaints received through various channels.


• Analyze complaint data to identify trends, root causes, and potential compliance issues.


• Support compliance monitoring and testing related to complaint handling.


• Assist in internal and external compliance reports and audits.


• Collaborate with business units and employees throughout the Firm.


• Contribute to the development of procedures and training to improve complaint resolution processes.


• Stay informed of regulatory changes and industry’s best practices affecting consumer complaint management.

Required Skills/Abilities: 

• Strong analytical skills to assess complaint details, identify issues, and determine root causes.


• Excellent written and verbal communication skills for drafting responses and communicating with stakeholders.


• Detailed oriented with organizational skills to manage multiple files, meet deadlines, and prioritize tasks.


• Problem solving mindset with the ability to recommend and support effective corrective actions.


• Able to manage shifting priorities in a fast-paced, result-driven environment. 


• Proficient in the Microsoft Suite of products (especially Excel).

Education and Experience:

• High school diploma (or equivalent) is required; degree preferred but not required.

Physical Requirements: 

• Prolonged periods of sitting at a desk and working on a computer.