Complaint Lead

18 hours ago

Gurugram, India Sheryl Strategic Solutions Pvt Ltd Full time

Complaint Lead (Financial Services Compliance)Role Overview:- The Complaint Lead is a critical compliance and risk management role requiring 3+ years of dedicated experience in control-related functions within the financial services industry.- Based 3 days onsite in Gurugram, India, the incumbent will be the subject matter expert responsible for leading the end-to-end complaints management process, ensuring adherence to strict US banking regulations and internal operational risk frameworks.- This position involves deep investigative work, comprehensive reporting, and the ability to translate consumer feedback into actionable risk and control improvements. Job Summary:We are seeking a Complaint Lead with strong experience in regulatory compliance, risk management, and consumer complaint handling within financial services. The ideal candidate will possess working knowledge of key U.S. banking regulations (BSA/AML, UDAAP, Reg E, etc.) and demonstrated expertise in managing the full complaints lifecycle, including investigation, reporting, and integration with the operational risk control environment. Key Responsibilities and Compliance Deliverables:- Complaints Management Leadership: Take ownership of the full, end-to-end complaints management lifecycle, from intake and categorization through detailed investigation and final resolution.- Investigation and Reporting: Lead and execute thorough investigation reports for complex or high-risk consumer complaints, identifying root causes, control failures, and potential instances of regulatory non-compliance.- Regulatory Compliance: Ensure all complaint handling processes and subsequent remedial actions comply with key U.S. banking regulations including, but not limited to: BSA/AML, UDAAP (Unfair, Deceptive, or Abusive Acts or Practices), Regulation E (Electronic Funds Transfer), Regulation Z (Truth in Lending), Fair Lending, and Privacy laws.- Operational Risk Control: Actively contribute to the operational risk framework by analyzing complaint data to identify systemic weaknesses, control gaps, and emerging risk management themes.- Issue Remediation and Control Testing: Use complaint outcomes to support the issue management process, driving the implementation of corrective actions. Assist in control testing processes to validate the effectiveness of controls related to consumer protection.- Reporting and Analysis: Prepare periodic management reports detailing complaint volumes, trends, root cause analysis, and the status of ongoing investigations and remediation efforts.- Policy Adherence: Ensure strict adherence to internal policies, procedures, and service level agreements (SLAs) governing complaint response times and quality. Mandatory Skills & Qualifications:- Experience: 3+ years of experience in compliance, risk management, or control-related roles in financial services.- Domain Expertise: Experience specifically in complaints management within a regulated environment.- Regulatory Knowledge: Working knowledge of key U.S. banking regulations (e.g., BSA/AML, UDAAP, Reg E, Reg Z, Fair Lending, Privacy). (ref:iimjobs.com)

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