Sr. Quality Management Specialist

EX07

How will this role impact First Command?

This position reports to the Associate Director, Quality Management and Licensing and is primarily responsible for managing the client complaint process from beginning to end, early resolution of disputes with clients, and the handling of escalated client experience issues. This position will also be tasked with conducting investigations; handling privacy and security incidents; developing responses to litigation related requests, regulatory data inquiries, subpoenas and other document production requests; and working with legal counsel, the Chief Compliance Officer and other senior and executive management on time-sensitive and complicated client experience and research and resolution issues. The position requires the ability to exercise independent judgment and discretion while working through difficult and significant business and legal issues. It also requires an in depth understanding of First Command’s business as a broker-dealer, investment adviser, insurance agent and bank; its product offerings; client relationship management systems; and its policies and procedures. The role will work closely with senior and executive leadership across the company.

What will the employee do in this role?

• Managing the client complaint process from beginning to end, including complaints received from clients, Advisors, FINRA, the SEC, state insurance departments, and First Command’s business partners.
• Ensuring the early resolution of disputes, including engaging in settlement negotiations and obtaining signed releases from clients.
• Handling escalated client experience issues upon referral from senior and executive leadership, Advisor Operations, the Client Experience Department, the Call Center, the Transfer Agency, etc.
• Comparing and evaluating possible courses of conduct and making a final decision (or making a recommendation to senior or executive leadership, depending on the situation) after considering various possible resolution options, the best interests of clients, monetary impact to the company, reputation risk to the company and other possible risks, etc.
• Coordinating with clients, the field force, home office staff, business partners and senior and executive leadership to take a holistic approach to resolving issues and to prevent them from reoccurring.
• Researching and addressing uncommon and escalated securities, advisory, insurance and banking related sales process and operational inquires.
• Performing internal investigations related to allegations of wrongdoing or misconduct by or against employees, field advisors and / or clients.
• Managing privacy and security incidents including, researching and consulting with legal counsel and the Chief Information Security Officer to determine the appropriate response; preparing notices to clients, states and regulators; working with Advisors and home office employees to rectify gaps and / or errors; and monitoring, tracking, reporting and documenting the incident .
• Developing key metrics regarding client complaint matters, settlements, privacy and security incidents, investigations, etc. for review by senior and executive leadership, including the Internal Risk Committee, the Executive Compliance Committee and the Risk Committee of the Board.
• Working with legal counsel and the Chief Compliance Officer to prepare responses to litigation related requests, regulatory data inquiries, subpoenas and other document production requests.
• Providing support to senior and executive leadership (including the CEO, President and Chief Legal Officer) on time-sensitive and complicated client experience and research and resolution issues.
• Providing training and subject-matter expertise to all First Command constituencies on the areas covered by the above responsibilities.

What roles will this employee lead?

What skills & qualifications will you need?

Education

Work Experience

Certifications

Required Knowledge, Skills and Abilities

The ideal candidate will :

#LI-NC1 #LI-Hybrid

Required Skills

Required Experience