When and How to Escalate Matters to Compliance

Handled By: Resolution Specialists

Background: There may be instances where a homeowner’s concern requires escalation to EverBright’s Compliance team.

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 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.
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 team Note: Ensure you frequently monitor the ticket for updates.