Corporate Complaint Consultant Executive Escalation Specialist
About The Position
The Corporate Complaint Consultant will provide immediate end-to-end resolution of high-priority corporate and regulatory complaints. This individual will own the client contact until resolution, provide updates to appropriate stakeholders, and be responsible for producing a detailed post-mortem report once breakdown areas have been identified. The role requires comfort navigating a complex organization and developing relationships necessary to achieve client resolution. A major component of the role involves identifying improvement opportunities and actionable projects that correlate directly with the detailed gap analysis and post-mortem report. The ideal candidate will possess a strong focus on meeting client needs and consistently exceeding expectations. This job is responsible for driving and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include providing analytical and administrative support for LOB or ECF specific processes and tools to drive adherence to enterprise-wide standards. Job expectations include monitoring and testing controls and implementing quality assurance and quality control processes within the LOB or ECF by evaluating data to help identify, track, and report issues and control improvements for remediation.
Requirements
- Experience with Consumer Investments (Merrill Edge).
- Understanding of brokerage business and products.
- Strong written and verbal communication skills.
- Professional presence and ability to interact with various levels of the organization.
- Strong analytical skills for root cause analysis and issue summarization.
- Problem-solving and follow-up skills with ability to escalate and resolve issues.
- Self-starter who works independently with minimal oversight.
- Strong interpersonal skills and ability to collaborate across teams.
- Superior customer service skills, including handling difficult conversations with frustrated clients.
- Strong organizational skills with ability to manage multiple priorities and meet deadlines.
- Flexibility to shift priorities on short notice.
- Sense of urgency and ability
Nice To Haves
- Understanding of Consumer Investments clients and business.
- Prior experience in client-facing roles.
- Experience in writing and documentation.
- Operational experience is a plus.
- Series 7/66 preferred.
Responsibilities
- Identify emerging risk items and align appropriate owners to mitigate them as part of the post-mortem summary.
- Provide support and guidance to CI Business Partners.
- Uncover process improvement opportunities within the complaints process.
- Participate in off-hours coverage rotation (nights, weekends, holidays).
- Conduct and coordinate quality inspection reviews to enhance performance and control effectiveness.
- Execute control activities, manage complaint cases from intake to resolution, and deliver clear, actionable reporting on outcomes.
- Support governance activities for dashboard reporting.
- Oversees the design and effectiveness of the risk and control environment to support Client Operational Services and ensure adherence to enterprise-wide standards
- Supports the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation
- Implements optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts
- Conducts and coordinates quality inspection reviews to enhance employee performance and control effectiveness
- Performs QA activities including executing on controls, managing cases, and reporting results
- Executes initiatives by identifying areas of potential testing automation, procedural updates, thematic trends, test script updates, and coaching opportunities to enhance QA program success
- Supports the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting
Benefits
- access to paid time off
- resources and support to our employees
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
