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Anthony Martinez (Unlicensed)

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STEP

ACTION

1

2

  • Seek approval to notify Compliance:

    • Internal Comment:

      • Summarize the matter

      • 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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Qualifiers for Compliance’s Involvment

QUALIFIERS FOR COMPLIANCE’S INVOLVEMENT

  • Claims of fraudulent and/or unlawful actions and activities (e.g., falsifying records, mischaracterizations, nonregistered/unlicensed company/contractor)

  • Agreement violations

  • Customer privacy violations

Info

Note: A compliance issue is any violation or failure to adhere to laws, regulations, policies, or ethical standards that govern an organization's operations. If there is doubt on whether or not a matter requires Compliance’s involvement, please seek validation from Cassandra Mercado.