Operational Exam & Business Support Analyst - Consumer Complaints

The role:

The Operations Exam & Business Support Analyst reports to the Senior Manager, Operations Exam & Ops Business Support, and will lead and coordinate the Operations regulatory exam activities to support the regulatory governance, issue, and exam management processes related to SoFi’s Complaint Management Program.. 

This strategic role will be the subject matter expert for Complaint related topics and will be the Directly Responsible Individual (DRI)  for the Global Operational teams to promptly and accurately respond to exam requests from Federal and State Regulators, Internal Auditors, and warehouse auditors. 

Additionally, this role will execute controls related to the Complaint Management Program, including evidence gathering and retention. 

What you’ll do: 

• Independently lead and coordinate cross-functional interaction activities for exams and support exams that impact operations, including regulatory and internal exams. This will include cross collaboration with senior management of SoFi’s Consumer Complaint Management Program to ensure proper sign offs and awareness has been communicated and obtained. 
• Be the subject matter expert for topics related to the Consumer Complaint Program and lead the collection, review, and delivery of all deliverables and follow-up requests required to successfully complete the regulatory or state examination, internal audit, or 2LOD testing exams.
• Drive the regulatory examination process and initiatives with multiple regulators for examinations and requests.
• Communicate exam response status, key findings of priority risk topics, and insights to senior leadership within Operations.
• Direct Responsible Individual (DRI) for Global Operations, Member Service Delivery team on-time execution and closure of issues related to SoFi’s Complaint Program. You will collaborate with Operations Risk Management and Issue Management to ensure long-term and short-term strategies, priorities, and goals are met.
• Execute controls related to the SoFi’s Complaint Management Program, including oversight, evidence gathering, and storage, to allow for an ‘effective’ control rating by Business Control Testing.

What you’ll need:

•  1 year experience at SoFi, or in lieu of SoFi experience 3+ years working with complaints/complaints programs in the financial services industry. 
• Subject Matter Expert in regulatory compliant complaint handling processes  and procedures 
• Knowledge of banking regulations, laws, and regulatory requirements,
• Experience with Excel/Tableau including creating spreadsheets, diagrams and tables to breakdown complex data
• Ability to break down challenges/opportunities with limited information, build a strategy, devise an action plan, identify resources, and project manage to completion.
• Excellent interpersonal skills, including building relationships across all levels, departments, and personality types to guide stakeholders through exam requests.
• Exceptional skills with Google suite products 
• Ability to execute on key initiatives as a Directly Responsible Individual (DRI) with little oversight
• Track record of leadership and performance and overcoming challenges in a high-growth, dynamic environment.
• Strength in taking action, strong analytical skills, and solid business judgment
• Expert written and verbal communication skills required, and ability to synthesize, key messages and themes to present to stakeholders.
• Excellent influencing and negotiation skills and proven ability to work effectively with various levels of internal and external stakeholders.
• Passion to learn, responsibly grow our business, and support our mission of helping members get their money right
• Ability to balance and prioritize multiple work streams for different stakeholders
• Exceptional organizational skills

Nice to have:

• Management experience in Escalated Complaint handling or Complaint Management
• Operations or Member Advocacy Product Subject Matter Expertise
• Experience working with third-party service providers
• Experience in Fintech operations
• Experience directly managing and responding to Regulatory matters
• Ability to use SQL