Ben Swai Email & Phone Number

Phoenix, Arizona, United States

• Review and implement scoring guidance, review systems, provide quality results, provide feedback and communication in a timely manner regarding compliance procedures, policies and controls.Wells Fargo May 2023-Present.
• Perform quality assurance and self-assurance activities including comprehensive reviews of multiple types of executive office transactions and case review quality assurance activities in support of regulatory.
• Manage case intake, research, communication and resolution
• Ensure identified compliance risks are well documented and interact with appropriate parties for timely resolution
• Provide feedback to appropriate contacts regarding, deficiencies, issues or inconsistencies
• Monitor quality assurance programs and processes to identify gaps and risk assessment.

Phoenix, Arizona, United States

• Conducted client due diligence processes during onboarding and periodic reviews for business customers in various lines of business while implementing compliance according to KYC and BSA/AML policy..
• Effectively managed pipeline to complete deadline driven due diligence cases while meeting quality standards.
• Implemented risk standards and programs to drive compliance with KYC and BSA/AML regulatory policy
• Audited and analyzed complex business customer profiles to meet compliance policy standards determine what is needed to make updates and meet policy standards
• Conducted quality assurance reviews on customer documentation and front office processes and procedures.
• Reported findings and make recommendations to management in multiple lines of business

Phoenix, Arizona, United States

• Implemented course of action and conducted investigative steps to fully identify escalated customer complaint allegations regarding regulatory policy violations and provided resolution according to compliance.
• Conducted timely remediation of escalated complaints according to regulatory compliance risk management
• Implemented excellent verbal and written communication skills used to document and relay customer resolution
• Developed and applied strong knowledge of and execution of regulatory compliance and risk management policies including UDAAP, Reg Z, FCRA and Truth in lending Act that led to satisfactory customer resolution
• Maintain compliance risk expertise as a subject matter point of contact for multiple customer service teams which improved their customer communication
• Showed effective pipeline management working in a fast-paced, highly regulated, deadline driven environment

Phoenix, Arizona, United States

• Worked within a contact center environment to support financial products and services as well as identified opportunities to improve customer service experience and offer ideas to resolve customer issues.
• Implemented excellent customer service while taking inbound calls to assist customers with various credit card inquiries and resolved multiple problems
• Led my team multiple times in highest quality assurance and customer survey scores multiple times.
• Developed essential knowledge of credit card products, policies, and procedures which enabled me to resolve customer goals and successfully reach handle time goals consistently
• Performed effective communication skills when collaborating with different departments to resolve complex customer concerns
• Assisted new peers with side-by-side coaching and support that enabled them to learn duties quickly efficiently