Complaint Resolution Specialist

About This Role

This Complaint Resolution Specialist role focuses on reviewing, investigating, and resolving client legal complaints within the financial services sector. The position ensures regulatory compliance and supports risk management efforts during a period of increased workload, working closely with a multidisciplinary team.

Responsibilities

• Review and investigate client legal complaints and prepare written responses
• Analyze complaint activity to identify trends and emerging risk indicators
• Draft and submit language for regulatory filings and disclosures
• Ensure all complaint handling aligns with applicable regulatory standards
• Assist with regulatory inquiries, examinations, arbitrations, litigation matters, and settlements
• Partner with attorneys, analysts, and fellow specialists to resolve matters efficiently

Requirements

• 3+ years of relevant professional experience
• Experience handling or investigating legal or regulatory complaints
• Familiarity with regulatory requirements within a financial services environment
• Strong analytical and problem-solving capabilities
• Ability to exercise sound judgment when assessing risk
• Excellent written and verbal communication skills
• Strong organizational skills and ability to manage competing priorities
• Comfortable working independently while taking direction as needed

Qualifications

• Bachelor’s degree (finance, accounting, or related field preferred)
• Minimum of 3 years of relevant professional experience

Nice to Have

• Juris Doctor
• Experience with data analysis, trend reporting, or statistical review
• Securities licenses (Series 7, 9, 10, 24, 66)
• Prior experience in the financial services or securities industry

Benefits