Provide a brief overview of actions taken during your investigation
Note any relevant findings/discoveries
Request approval to involve Compliance
Tag: Cassandra Mercado and Sabin Abad
Go to Step 3
3
Was approval received by a Team Supervisor?
If yes,
Update the EBH ticket status to: “Waiting on Compliance”
Go to Step 4
If no, follow appropriate process(es) and Stop
Info
Note: Updating the EBH ticket status will create a duplicate, linked POLICY ticket in a separate project: EB Compliance. This will allow you to facilitate conversation internally with the Compliance team. When customer interaction is necessary, it would be done via the original Support ticket.
4
Locate the linked POLICY ticket created
Update the ticket:
Reporter(s): Aileen Kozlowski
Request Participants: Steven Edwards, Christopher Strain, Cassandra Mercado
Ticket Status: “Waiting on Compliance”
Comment:
Include an overview of the matter, actions taken, findings made, copies of any supporting documents, Engine job link, and request review/input by the Compliance
Info
Note: Ensure you frequently monitor the ticket for updates.
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Examples
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Examples
Sending an Internal Notice to Our Legal Team
QUALIFIERS
A lawsuit has been filed
A customer/customer’s attorney is contacting EverBright to obtain Legal’s information
The Attorney General of the customer’s state notifies EverBright of a filed complaint
The potential exposure involves $10,000 in cash payments or the value of products/labor provided
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Note: A customer threatening to hire an attorney, threatening to file a lawsuit, or alleging that they have an attorney are not qualifiers to escalate to Legal. The customer must explicitly state they have performed one of these actions in order to escalate the matter to Legal.