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Compliance Escalation SOP

Compliance Escalation SOP

Owned by Deanna Collia
Last updated: Jan 11, 2024
1 min read

Background

The POLICY project documents and tracks all internal communications regarding Compliance, Legal and/or Risk related cases or issues that have been transferred for Leadership review.

Procedure

  • A customer complaint or issue has been transferred for internal review based on background information gathered during the investigation process per https://sighten.atlassian.net/wiki/spaces/SS/pages/2622095471.

  • The resolution specialist has, at minimum, investigated the issue and communicated with the necessary parties to gather all required information per individual SOP, and discussed findings with the escalations team supervisor.

  • With approval from the supervisor, the resolution specialist updates the status of the customer ticket to ‘Waiting for Compliance’, which automatically generates a duplicate, linked ticket within the POLICY project.

  • Communications in the POLICY ticket are internal only. When customer interaction is necessary, it will be done via the original EBH, PTO, or SS ticket

  • Reporter: Aileen Kozlowski and Steven Edwards

  • Request Participants: Christopher Strain and the Account Manager (when necessary)

  • Reply to the Compliance/Risk team and provide a history of the complaint and summary of actions to date. Attach all supporting documents, the job link in Engine, and request a review.

  • Change the status to ‘Waiting for Compliance’

  • Tickets should be checked daily and any necessary action taken