About this role
Do you enjoy solving complex problems and getting to the root cause of client concerns? Are you skilled at balancing client experience, regulatory requirements, and risk management? Do you thrive in a role where your analysis and insights can help prevent future issues and improve business outcomes? If so, this may be the opportunity for you. Our team plays an important role in protecting the firm's reputation, supporting client satisfaction, and ensuring compliance with regulatory obligations. By investigating client complaints, identifying trends, and partnering with business areas across the firm, we help drive continuous improvement while maintaining a strong culture of accountability and client care. In this role, you will be responsible for conducting thorough investigations of client concerns, preparing professional responses, supporting regulatory reporting requirements, and identifying opportunities to mitigate risk. You will collaborate with leaders, business partners, legal counsel, and regulatory stakeholders to help resolve issues and strengthen processes across the organization. This is an excellent opportunity for a professional who enjoys investigative work, critical thinking, and using data-driven insights to influence positive outcomes. What You'll Do Conduct timely, thorough, and objective investigations of client complaints and concerns in a manner consistent with the firm's values, policies, and commitment to client service. Analyze correspondence and inquiries received from clients, attorneys, regulatory agencies, and other authorized parties to assess risk and determine appropriate actions. Prepare clear, concise, and professional written responses to complainants and authorized individuals. Draft and submit language for required regulatory filings and disclosures. Support the firm's compliance with regulatory reporting obligations, including coding matters for FINRA filings such as Forms U4 and U5. Negotiate settlements and recommend corrective actions when appropriate to achieve fair and effective resolutions. Partner with firm counsel on regulatory inquiries, examinations, investigations, arbitrations, and litigation matters. Analyze complaint data and trends to identify emerging risks and opportunities for process improvement. Provide insights and reporting to leaders and business partners to help prevent recurring issues and enhance the client experience. Collaborate across departments to implement solutions that reduce risk and improve operational effectiveness. Where You'll Make an Immediate Impact From day one, you'll play a key role in: Enhancing the firm's complaint investigation and resolution process. Ensuring timely and accurate regulatory reporting and documentation. Identifying complaint trends and root causes that can drive meaningful business improvements. Supporting regulatory inquiries and responses while helping mitigate firm risk. Providing actionable insights that help leaders address emerging risks and improve client outcomes. Strengthening partnerships across Legal, Compliance, Risk Management, and business teams.