Complaint Management

Complaint Management Finance Jobs

7 jobs found

Sr Client Relationship Specialist- Westlake, TX

Charles Schwab Westlake, TX

17d ago

$65k - $95k/yr Full time Advisor Business Development Client

Advisor Business Development Client

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Job Description

On site in Westlake, TX, this role supports Schwab's Ultra High Net Worth team, focusing on building durable client relationships, addressing sophisticated needs, and delivering exceptional service.

Responsibilities

Consistently addressing client complaints and delivering resolutions aligned with the needs of the client, the team, and the company.
Deepening relationships with internal and external business partners.
Demonstrating initiative, strong workplace engagement, and leadership.
Providing self-directed, exceptional value and outstanding client service.
Assisting the Branch Manager and sales and support staff in meeting client needs.
Navigating highly complex operational issues successfully.
Diffusing negative client situations effectively.
Implementing, training, and supporting new processes adopted by the firm.
Partnering with internal and external business partners to prepare for a branch audit.
Assisting the branch team with planning and managing client events.
Serving as a product and service subject matter expert.
Processing checks, security deposits, check disbursements, and new account transactions.
Actively identifying additional business development opportunities.
Scheduling clients with a Wealth Consultant for further consultation.

Requirements

Active and valid Series 7 and 63 licenses
Active and valid Series 9 and 10 licenses
Minimum of 2 years in a client service capacity
Understanding of the financial services or securities industry
Solid understanding of regulatory and compliance policies related to brokerage business
Demonstrated experience handling client concerns with tact and diplomacy
Evidence of building strong, personal client relationships and the ability to uncover client needs
Ability to work independently and as part of a team, while handling multiple tasks simultaneously
Effective time management and prioritization skills
Outstanding written and oral communication abilities
Ability to build and maintain cross-enterprise working relationships
Bachelor's degree

Benefits

401(k) with company match and Employee Stock Purchase Plan
Paid time off for vacation and volunteering, plus a 28-day sabbatical after every five years of service for eligible positions
Paid parental leave and family-building benefits
Tuition reimbursement
Health, dental, and vision insurance

Position Type

Regular

Your Opportunity

Base salary range is USD 65,000 to 95,000 per year. In addition, the role is eligible for bonus or incentive opportunities.

What You Have

Cultivating meaningful relationships with each client is a core component of our business strategy. In the Ultra High Net Worth team, the Senior Client Relationship Specialist will advance this mission through focused client engagement and service excellence.

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Financial Advisor

RedBalloon LLC Moscow, ID Hybrid

18d ago

$50k - $200k/yr Full time Advisor Budgeting Cash Flow

Advisor Budgeting Cash Flow

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Job Description

RedBalloon LLC invites applications for a fiduciary, fee-only Financial Advisor in Moscow, ID with hybrid work options. The role involves taking over a small client book with supported prospecting; CFP certification is preferred, relocation assistance is available, and remote work is negotiable; there is potential for rapid advancement to lead or senior advisor.

Responsibilities

Assist Advisors in understanding and supporting their clients’ financial goals
Develop and implement customized financial plans covering retirement, estate planning, tax strategies, investment approaches, and budgeting
Prepare investment reviews and personalized meeting materials for advisors and their clients
Use planning software such as MoneyGuidePro, Nitrogen, Morningstar Advisor Workstation, Holistiplan, and other tools to create and maintain financial scenarios and reports
Keep financial plans current and responsive to client needs
Research, teach, and analyze financial planning topics as needed
Help design, implement, and maintain model portfolios across all client accounts
Assign appropriate investment models to client portfolios and document changes with detailed notes
Monitor client portfolios regularly and alert Lead Advisors to deviations from targets or notable performance issues
Assist with non-qualified account management for tax loss/gain harvesting
Support rebalancing activities, including data entry, documentation, and communication with operations staff
Coordinate with custodians or trading platforms to ensure accuracy in portfolio implementation
Maintain awareness of market trends and their potential impact on model portfolios
Support investment committee work by gathering data, running reports, and participating as requested
Enter and track tasks in Redtail CRM; maintain accurate and timely follow-ups
Complete Smart RIA compliance tasks within 30 days of assignment
Assign and manage workflows and service tasks related to compliance and client service
Report any written client complaints promptly and appropriately
Actively participate in team meetings, maintaining professionalism, punctuality, and preparedness
Delegate tasks to support staff as needed and follow through on assigned responsibilities
Maintain conduct that reflects the firm’s core values, including courage, curiosity, truth, and wisdom
Align with the firm’s guiding belief that True Wealth is found in Christ alone
Ensure timely completion of investment reviews and service tasks
Maintain accuracy and preparedness of meeting deliverables
Contribute to firm growth and client retention over time

Requirements

2-3 years of financial advising experience
CFP certification
Series 65 license or ability to obtain within 3 months
Highly organized with strong attention to detail
Ability to work independently
Excellent communication skills with a teaching-oriented approach

Technologies

MoneyGuidePro
Nitrogen
Morningstar Advisor Workstation
Holistiplan
Redtail CRM
LPL Financial

Benefits

Relocation assistance available for the right candidate
Training, continuing education units (CEU), and registration fees covered
401(k) with employer matching at six months
Paid time off: two weeks vacation, plus office closures when the market is closed
Remote or hybrid work environment with a flexible schedule; remote work possible as long as five business days per month are worked on site in Moscow, Idaho
Marketing and lead generation provided to grow your book of business
Mentorship by a senior advisor
Administrative assistance with client accounts

About Us

We were founded in 2021 by Neal Richards due to the rapid growth of his practice at a small independent RIA firm
We are a small and nimble team with four employees, providing planning services (utilizing MoneyGuide Pro and Nitrogen) and asset management through LPL Financial
Our core values are Curiosity, Courage, Truthfulness, and the principle that Wealth is found in Wisdom
As a regional Dave Ramsey SmartVestor associated professional, we offer a reliable investment strategy and compatible financial planning grounded in biblical principles
Axiom is a rapidly growing, federally regulated RIA, with expectations of continued growth and a need for flexibility in adopting new technologies and services; this expansion presents opportunities for the right candidate

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Sr Client Relationship Specialist

Charles Schwab Westlake, TX

20d ago

$31 - $45/hr Full time Senior Client Client Relations

Senior Client Client Relations

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Job Description

Charles Schwab's Ultra High Net Worth team in Westlake, TX offers an on-site role with a competitive hourly pay range of $31 to $45. This Senior Client Relationship Specialist position centers on building durable client relationships and delivering exceptional service, while coordinating with internal and external partners and supporting branch activities to meet UHNW client needs. The role also provides access to a comprehensive benefits package that supports work-life balance and long-term financial well-being.

Benefits

401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and a 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance

Your Opportunity

In addition to the base hourly range, the role is eligible for bonus or incentive opportunities. The position provides the chance to contribute to client outcomes while collaborating with a network of partners to support UHNW client needs.

Responsibilities

Consistently resolve client complaints with solutions aligned to the client, the team, and the firm
Deepen internal and external business partner relationships
Demonstrate initiative, engagement, and leadership in the workplace
Deliver self-directed, exceptional client service and value
Support the Branch Manager and sales/support staff in addressing client needs
Navigate highly complex operational issues effectively
Diffuse negative client situations successfully
Implement, train, and support new processes adopted by the firm
Collaborate with internal and external partners to prepare for a branch audit
Assist the branch team with managing client events
Serve as a product and service subject matter expert
Handle checks, security deposits, check disbursements, and new account processing
Actively uncover additional business development opportunities
Schedule clients with a Wealth Consultant for further consultation

Requirements

Active and valid Series 7 and 63 required
Active and valid Series 9/10 licenses required
Minimum of 2 years in a client service capacity
Understanding of the financial services industry and/or securities industry
Solid understanding of regulatory and compliance policies in brokerage business
Demonstrated experience handling client concerns with tact and diplomacy
Demonstrated passion for building strong, personal client relationships and uncovering client needs
Ability to work independently and as part of a team while handling multiple tasks
Effective time management skills and the ability to prioritize appropriately
Outstanding written and oral communication skills
Ability to build and maintain good cross-enterprise working relationships

What You Have

Building strong, meaningful relationships with each client is a key component of Schwab's business strategy. The Senior Client Relationship Specialist within the UHNW department will pursue this mission through dedicated client engagement and service excellence.

Preferred Qualifications

Bachelor's degree or equivalent work related experience

Position Type

Regular

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SVP, Chief Compliance Officer

Merchants Bank of Indiana Carmel, IN

21d ago

Full time Banking Banking Regulations BSA

Banking Banking Regulations BSA

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Job Description

Location: Carmel, IN 46032

Role overview

The SVP, Chief Compliance Officer leads the organization’s compliance team and drives the enterprise wide compliance program across both banking and mortgage operations. The role ensures full adherence to federal and state banking laws, mortgage regulations, consumer protection requirements, and internal policies. As a trusted advisor to the executive leadership and the Board of Directors, the CCO provides strategic direction, regulatory insight, and risk mitigation recommendations to protect the company’s reputation and maintain operational integrity. The position emphasizes proactive oversight, timely issue identification and remediation, and consistent compliance with regulatory requirements to support clean audits and examinations, minimize consumer harm, and maintain well controlled products and processes. The CCO fosters a culture of compliance, equips business leaders with clear guidance, and delivers transparent reporting to executive management and the Board, safeguarding the company’s reputation, financial stability, and long term regulatory standing.

What success looks like after one year

Within the first year, the role will independently and confidently handle the following areas:

Key responsibilities

Enterprise Compliance Leadership
- Design, execute, and continually improve the enterprise compliance management system (CMS) for banking and mortgage lines.
- Serve as the primary liaison to federal and state regulators, including the FDIC, Indiana Department of Financial Institutions, and the CFPB.
- Provide regular reports to the Board of Directors and executive leadership on compliance risk, examination results, emerging issues, and key metrics.
Regulatory Compliance Oversight
- Ensure compliance with applicable regulations, including Banking and Mortgage rules:
  - Banking: BSA/AML, UDAP/UDAAP, EFTA, FCRA, FDCPA, GLBA, Reg B, Reg E, Reg CC, Reg D
  - Mortgage: RESPA, TILA/Reg Z, HMDA, ECOA, SAFE Act, TCPA, Fair Lending, and disclosure laws
- Monitor legislative and regulatory changes, assess impact, and lead organization wide implementation plans.
Compliance Program Development
- Oversee policies, procedures, training programs, testing and monitoring activities, complaint management, and remediation efforts.
- Develop and maintain risk assessment methodologies for banking and mortgage processes.
- Partner with business leaders to embed compliance controls into products, operations, and customer interactions.
CRA, Fair Lending & Consumer Compliance Strategy
- Provide executive oversight of CRA performance, fair lending risk, HMDA and CRA data integrity, and consumer protection compliance.
- Draft and update the organization’s CRA Strategic Plan as needed.
- Collaborate with business line leaders to establish goals under the CRA Strategic Plan and community development initiatives.
- Ensure robust fair lending analytics, data reviews, and targeted monitoring activities.
- Schedule and track Community Development service and investment activities through the MPACT program.
Regulatory Examinations & Audits
- Prepare the organization for regulatory exams, internal audits, and independent reviews.
- Coordinate exam activities, responses, documentation, and remediation efforts.
- Ensure timely resolution of findings and sustainable corrective action plans.
Risk Management & Governance
- Identify compliance risks and collaborate with senior leaders to implement mitigation strategies.
- Chair the organization’s Compliance Committee, whose membership includes key executive leaders.
Team Leadership
- Lead, mentor, and develop all Compliance team members.
- Establish performance goals, succession plans, and promote a culture of collaboration and accountability.

What we are looking for

Experience

12+ years of progressive compliance, risk, regulatory, or legal experience within the banking and/or mortgage industry.
Deep knowledge of federal and state banking and mortgage regulations.
Experience interfacing with regulators and managing examinations.
Prior leadership of a compliance function or large compliance team.

Skills & Competencies

Strong leadership presence with the ability to influence at all levels.
Extensive knowledge of regulatory frameworks and consumer protection requirements.
Strategic thinker with a practical, solutions oriented mindset.
Excellent communication, presentation, and relationship-building skills.
High integrity, sound judgment, and organizational awareness.

Core competencies

Executive Leadership
Strategic Risk Management
Regulatory Expertise
Operational Excellence
Ethical Decision Making
Change Management
Collaboration and Business Partnership

Education

Bachelor’s degree required; an advanced degree in Law, Business, Finance, or a related field is preferred.
JD or CRCM certification strongly preferred.

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SVP, Chief Compliance Officer

Merchants Bank of Indiana Carmel, IN

30d ago

Full time Banking Banking Regulations BSA/AML

Banking Banking Regulations BSA/AML

Apply Now

Job Description

Position Overview

Located in Carmel, Indiana 46032, the SVP, Chief Compliance Officer leads the organization’s compliance function and drives the enterprise-wide program across banking and mortgage operations. The role ensures adherence to federal and state banking laws, mortgage regulations, consumer protection requirements, and internal policies. As a trusted adviser to executive leadership and the Board of Directors, the CCO sets strategic direction, provides regulatory insight, and recommends risk mitigations to protect the company’s reputation and maintain operational integrity. The role emphasizes proactive oversight, timely issue identification and remediation, and consistent compliance with applicable requirements to support clean audits and examinations, minimize consumer harm, and maintain well-controlled products and processes. The CCO cultivates a culture of compliance, guides business leaders with clear instructions, and delivers transparent reporting to management and the Board, safeguarding financial stability and long-term regulatory standing.

Key Responsibilities

Lead the design, execution, and ongoing enhancement of the enterprise compliance management system (CMS) for banking and mortgage lines.
Act as the primary liaison to federal and state regulators, including the FDIC, Indiana Department of Financial Institutions, and the CFPB.
Provide regular reports to the Board of Directors and executive leadership on compliance risk, examination results, emerging issues, and key metrics.

Regulatory Compliance Oversight

Ensure adherence to applicable regulations across Banking (BSA/AML, UDAP/UDAAP, EFTA, FCRA, FDCPA, GLBA, Reg B, Reg E, Reg CC, Reg D) and Mortgage (RESPA, TILA/Reg Z, HMDA, ECOA, SAFE Act, TCPA, Fair Lending, disclosure laws).
Monitor legislative and regulatory changes, assess impact, and lead organization-wide implementation plans.

Compliance Program Development

Oversee policies, procedures, training programs, testing and monitoring activities, complaint management, and issue remediation.
Develop and maintain risk assessment methodologies for banking and mortgage processes.
Partner with business leaders to embed robust compliance controls into products, operations, and customer interactions.

CRA, Fair Lending & Consumer Compliance Strategy

Provide executive oversight of CRA performance, fair lending risk, HMDA and CRA data integrity, and consumer protection compliance.
Draft and update the organization’s CRA Strategic Plan as needed.
Collaborate with business line leaders to set goals under the CRA Strategic Plan and community development initiatives.
Ensure robust fair lending analytics, data reviews, and targeted monitoring activities.
Schedule and track Community Development service and investment activities through the MPACT program.

Regulatory Examinations & Audits

Prepare the organization for regulatory examinations, internal audits, and independent reviews.
Coordinate examination activities, responses, documentation, and remediation efforts.
Ensure timely resolution of findings and sustainable corrective action plans.

Risk Management & Governance

Identify compliance risks and work with senior leaders to implement mitigation strategies.
Chair the Compliance Committee, whose membership includes key executive leaders.

Team Leadership

Lead, mentor, and develop all members of the Compliance team.
Establish performance goals, succession plans, and foster a culture of collaboration and accountability.

Requirements

What we are looking for

Experience
- 12+ years of progressive compliance, risk, regulatory, or legal experience within the banking and/or mortgage industry.
- Deep knowledge of federal and state banking and mortgage regulations.
- Experience interfacing with regulators and managing examinations.
- Prior leadership of a compliance function or large compliance team.
Skills & Competencies
- Strong leadership presence with the ability to influence at all levels.
- Extensive knowledge of regulatory frameworks and consumer protection requirements.
- Strategic thinker with a practical, solution-oriented mindset.
- Excellent communication, presentation, and relationship-building skills.
- High integrity, judgment, and organizational awareness.
Education
- Bachelor’s degree required; advanced degree in Law, Business, Finance, or related field preferred.
- JD or CRCM certification strongly preferred.

About Merchants

Merchants Bancorp is a diversified bank holding company headquartered in Carmel, Indiana. It operates multiple segments, including Multi-family Mortgage Banking which finances and services multi-family housing and healthcare facilities, Mortgage Warehousing offering mortgage warehouse financing, and Banking providing retail and correspondent residential mortgage banking, agricultural lending, and traditional community banking. As of December 31, 2024, the company reported $18.8 billion in assets and $11.9 billion in deposits. Merchants conducts business primarily through its direct and indirect subsidiaries, including Merchants Bank of Indiana, Merchants Capital Corp., Merchants Capital Investments, LLC, Merchants Capital Servicing, LLC, Merchants Asset Management, LLC, and Merchants Mortgage, a division of Merchants Bank of Indiana.

Merchants Bank and Merchants Capital have recently been honored with the 2025 USA Today Top Workplaces recognition, ranking 22nd nationally in the 500-999 employee category. This follows a history of workplace recognition, including being named a Best Place to Work in Indiana for seven consecutive years (2016–2022). For more information read the entire article here.

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SIMPLE IRA Specialist - FINRA LICENSE REQUIRED

ADP Louisville, KY

1mo ago

Full time ADP Client Service Customer Service

ADP Client Service Customer Service

Apply Now

Job Description

Position Overview

Advance your career in ADP's Customer Service organization. Our goal is to empower clients to be more effective employers by collaborating with customers and colleagues to ensure our products and services deliver tangible results. Many of our customers are not only satisfied but would recommend ADP to others, and you will play a key role delivering timely, on-the-spot support that helps our integrated solutions stand out in a competitive global market. ADP is hiring an experienced Customer Service Specialist III. You will join a team of professionals dedicated to ensuring every customer interaction is a best-in-class experience, combining a passion for service with innovative solutions and extensive training to help customers maximize value from our products. Our approach is guided by CORE values: Insightful Expertise, Integrity is Everything, Service Excellence, Inspiring Innovation, Each Person Counts, Results-Driven, and Social Responsibility. Location: Louisville, KY.

Responsibilities

Serve as a subject matter expert for routine client requests from ADP clients
Resolve routine customer concerns using predefined solutions
Answer non-technical questions regarding ADP products
Provide guidance and assist less-experienced teammates with non-technical inquiries
Learn and navigate ADP systems to respond to issues

Qualifications Required

At least 2 years of relevant experience
High School diploma

Preferred Qualifications

Bilingual in English and Spanish
Strong client relationship and interpersonal skills
Ability to troubleshoot and resolve customer complaints using predefined solutions
Demonstrated capacity to learn and apply basic concepts in new situations
Organizational skills with the ability to multi-task, set priorities, and follow up promptly
Ability to collaborate in a team while also working independently and making sound decisions
Bachelor's degree

About ADP

We are a global provider of cloud-based human capital management solutions that integrate HR, payroll, talent, time, tax, and benefits administration. ADP is a leader in business outsourcing services, analytics, and compliance expertise. We strive for a down-to-earth culture that embraces our core values, welcomes ideas, encourages innovation, and fosters a sense of belonging. ADP has earned recognition from multiple respected organizations; learn more at ADP Awards and Recognition.

Inclusion, Equity & Equal Employment Opportunity

ADP is committed to creating an inclusive, diverse, and equitable workplace and to providing equal employment opportunities regardless of protected characteristics including race, color, genetic information, creed, national origin, religion, sex, sexual orientation, gender identity or expression, lawful alien status, ancestry, age, marital status, protected veteran status, or disability. Hiring decisions are based on ADP’s operating needs and applicant merit, including qualifications, experience, ability, availability, cooperation, and job performance.

Ethics at ADP

ADP has a long-standing commitment to the highest ethical standards and full compliance with applicable laws. We expect our people to uphold our values with integrity and to contribute to an honest and respectful workplace. To learn more about ADP’s culture and values, visit the Life at ADP page.

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SIMPLE IRA Specialist - FINRA LICENSE REQUIRED

ADP Dallas, TX

1mo ago

Full time ADP Client Service Customer Service

ADP Client Service Customer Service

Apply Now

Job Description

Overview

Unlock your career potential in a Customer Service role with ADP in Dallas, Texas 75207. You will help our customers become more effective employers by collaborating with clients and colleagues to ensure our products and services deliver tangible results. Our team often receives high satisfaction ratings and recommendations from customers, and you will be the on-the-spot support that helps our integrated solutions stand out in today’s competitive global market. This role is for an experienced Customer Service Specialist III, joining a team of professionals dedicated to delivering a best-in-class experience. You will blend a passion for service with innovative solutions and leverage our top-ranked training programs to help customers maximize value from our products. Our CORE values guide every interaction: Insightful Expertise, Integrity is Everything, Service Excellence, Inspiring Innovation, Each Person Counts, Results-Driven, and Social Responsibility.

Responsibilities

Serve as a subject matter expert in handling routine client requests for ADP clients
Resolve routine customer concerns using pre-defined solutions
Answer non-technical questions regarding ADP products
Provide consultation and help answer non-technical questions to support less-experienced team members
Learn and navigate ADP systems in order to respond to issues

Qualifications

Required: At least 2 years of previous experience
Required: High School diploma

Preferred Qualifications

Bilingual (English / Spanish)
Strong client relationship and interpersonal skills
Ability to troubleshoot and resolve customer complaints using predefined solutions
Demonstrated ability to learn and apply basic concepts in new situations
Organizational skills, including the ability to multi-task, set priorities, and follow up in a timely manner
Ability to collaborate and work in a team environment as well as work independently and make sound decisions
Bachelor's degree

A little about ADP

We are a comprehensive global provider of cloud-based human capital management (HCM) solutions that unite HR, payroll, talent, time, tax and benefits administration. We are a leader in business outsourcing services, analytics, and compliance expertise. Our people make a difference by contributing to a down-to-earth culture that embraces our core values, welcomes ideas, encourages innovation, and values belonging. ADP has earned recognition from numerous esteemed organizations; learn more at ADP Awards and Recognition.

Diversity, Equity, Inclusion & Equal Employment Opportunity at ADP

ADP is committed to an inclusive, diverse and equitable workplace and to providing equal employment opportunities regardless of protected characteristics including race, color, genetic information, creed, national origin, religion, sex, affectional or sexual orientation, gender identity or expression, lawful alien status, ancestry, age, marital status, protected veteran status or disability. Hiring decisions are based upon ADP’s operating needs and applicant merit, including qualifications, experience, ability, availability, cooperation, and job performance.

Ethics at ADP

ADP maintains high ethical standards and full compliance with all applicable laws. We expect our people to uphold our values with integrity and to foster an honest, respectful workplace. To learn more about ADP’s culture and values, visit ADP Life at ADP.

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Complaint Management Finance Jobs

Sr Client Relationship Specialist- Westlake, TX

Financial Advisor

Sr Client Relationship Specialist

SVP, Chief Compliance Officer

SVP, Chief Compliance Officer

SIMPLE IRA Specialist - FINRA LICENSE REQUIRED

SIMPLE IRA Specialist - FINRA LICENSE REQUIRED

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