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Regulatory Complaint Specialist - 545

Wollborg Michelson Recruiting

Cincinnati, OH

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JOB DETAILS
SKILLS
Analysis Skills, Banking Regulations, Cross-Functional, Customer Escalations, Detail Oriented, Documentation, Financial Services, Fraud Investigation, Information/Data Security (InfoSec), Interpret Regulations, Legal, Maintain Compliance, Microsoft Excel, Microsoft Office, Microsoft PowerPoint, Microsoft Word, Organizational Skills, Performance Metrics, Policy Development, Process Improvement, Regulations, Regulatory Compliance, Regulatory Requirements, Risk, Risk Analysis, Risk Management, Root Cause Analysis, Team Player, Time Management, Trend Analysis, Writing Skills
LOCATION
Cincinnati, OH
POSTED
30+ days ago

Regulatory Complaint Specialist



Job Summary


This role focuses on investigating, analyzing, and resolving complex customer disputes and regulatory complaints. The specialist reviews escalated cases filed with state and federal regulators, conducts thorough investigations, and delivers clear, well-supported decisions that align with regulatory requirements and internal policies. This position operates in a high-risk, high-visibility environment requiring strong analytical judgment, attention to detail, and the ability to make defensible decisions.


Responsibilities


  • Lead end-to-end investigations of escalated regulatory complaints and dispute cases, including gathering evidence, reviewing account activity, and analyzing relevant documentation.

  • Make independent, well-reasoned decisions on dispute outcomes based on regulatory guidelines, internal policies, and case findings.

  • Draft clear, concise, and compliant written responses to regulators and customers, outlining investigation findings and final determinations.

  • Assess risk and identify potential compliance concerns, ensuring all decisions align with applicable regulations such as Regulation E and UDAAP.

  • Collaborate with internal teams including fraud, operations, legal, and compliance to obtain necessary information and validate findings.

  • Identify trends and root causes of recurring disputes and escalate systemic issues for process or policy improvements.

  • Exercise sound judgment in determining when to escalate cases or seek additional review.

  • Maintain strict confidentiality and data security standards when handling sensitive customer information.

  • Manage a high-volume caseload while meeting regulatory deadlines and internal performance metrics.



Requirements


  • Bachelor s degree or equivalent experience.

  • Experience in dispute resolution, investigations, compliance, audit, or risk management.

  • Background in financial services, particularly in dispute or fraud investigations.

  • Experience responding to regulatory complaints or escalations.

  • Ability to interpret and apply regulatory requirements to real-world scenarios.

  • Strong attention to detail and ability to manage multiple high-priority cases simultaneously.

  • Proven ability to work independently and exercise sound judgment with minimal supervision.

  • Solid proficiency in Microsoft Office, including Word, Excel, and PowerPoint.

  • Working knowledge of key banking regulations such as Regulation E and UDAAP.



Summary Qualification


  • Proven experience handling complex customer disputes and regulatory complaints.

  • Demonstrated ability to deliver clear, defensible decisions in a high-risk environment.

  • Strong grounding in regulatory compliance within financial services.

  • Track record of meeting strict deadlines while managing a high-volume caseload.



Skill


  • Analytical and investigative skills for evaluating complex cases.

  • Excellent written communication for formal, regulatory-facing responses.

  • Risk assessment and issue escalation skills.

  • Collaboration skills for working with cross-functional teams.

  • Time management and organizational skills for handling multiple high-priority cases.

  • Proficiency with Microsoft Office applications.

  • Ability to maintain confidentiality and data security standards.



Wollborg Michelson Recruiting is an Equal Opportunity Employer and prohibits discrimination of any kind. We ensure job offers are made based of one s employment experience, skills, and qualifications, regardless of race, gender, ethnic origin, or any other classification protected by law. All applicants must furnish proper identification to prove their legal right to work in the US upon a job offer. We participate in E-Verify to confirm one s right to work in the US. Wollborg Michelson Recruiting does not provide sponsorship for an employment-based visa status.

About the Company

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Wollborg Michelson Recruiting

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