Page Comparison

STEP

ACTION

1

• Does the customer’s concern warrant Compliance’s involvement?

  • If yes, go to Step 2

  • If no, follow appropriate process(es) and Stop

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

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