Senior Supervision Officer
About The Position
The Complaint Officer is responsible for overseeing and managing the customer complaint process within the first line of defense, ensuring timely, accurate, and compliant resolution of client concerns. This role serves as a key point of contact for complaint handling, partnering with business units to identify root causes, implement corrective actions, and maintain adherence to regulatory requirements. The Complaint Officer provides guidance on complaint management best practices, monitors trends, and escalates significant issues to leadership. Additionally, the role supports continuous improvement initiatives to strengthen controls and enhance the client experience.
Requirements
- 5+ years of experience in compliance, risk management, auditing, or related fields (required)
- Demonstrated ability to work independently and collaboratively in a regulatory environment (required)
- Strong understanding of financial products offered on the platform.
- Comfortable and confident in client contact in difficult situations.
- Understanding and applying laws and regulations relevant to banking and consumer finance.
- Evaluating potential risks and identifying control gaps in processes and systems.
- Identifying and mitigating risks that could disrupt business operations.
- Using analytical tools to interpret data and uncover complaint issues or trends.
- Building strong relationships across departments to support initiatives.
- Applying sound judgment in evaluating complex compliant scenarios.
- Staying current with regulatory changes and industry best practices.
- Designing effective solutions to address challenges.
Nice To Haves
- Bachelor's Degree or equivalent experience (preferred)
- SEI, Series 7, 24, 66, 53 or 9/10 Life, Health and Variable Annuity License
Responsibilities
- Manage the end-to-end complaint resolution process within the first line of defense, ensuring timely and compliant handling of customer concerns.
- Develop and maintain complaint-handling policies and procedures aligned with regulatory requirements and internal standards.
- Analyze complaint trends and root causes to identify risk areas and recommend process improvements.
- Collaborate with internal stakeholders to ensure consistent and effective complaint management practices across business units.
- Prepare and deliver reports on complaint metrics, trends, and risk indicators to management and governance committees.
- Provide guidance and training to team members and business partners on complaint-handling best practices.
- Escalate significant issues or regulatory risks identified through complaint analysis to appropriate leadership.
- Participate in special projects related to complaint management and risk mitigation.
- Stay current on regulatory changes and industry trends impacting complaint handling.
- Comply with all KeyBank policies and procedures, including acting professionally, ethically, and in the best interests of clients.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
