COMPLIANCE AUDITOR

General Purpose

This role provides support for the internal Compliance Department by conducting professional operations reviews, audits, or investigations to determine compliance with Firm and client requirements. This includes preparing audit reports and supporting documents.

Essential Functions

• Handling various client deliverables such as call reports, call recording requests, and remediation requests.
• Completing Firm and client required call audits while managing deadlines and delivery of audit reports.
• Supporting firm training process such as maintenance of Firm Supplement Training Log.
• Conducting audits on various subjects at scheduled intervals or as needed such as security, procedural, and risk.
• Communicating with clients, management, or other staff across the Firm relative to compliance functions.

Supervisory Responsibilities

This job does not have supervisory responsibilities.

Competencies

• Strong attention to detail
• Excellent communication and organizational skills
• Quick learner who is not afraid to ask questions
• Ability to handle multiple projects/tasks in a timely and accurate fashion
• Strong work ethic and a desire to succeed
• Reliable and dependable individual with unassailable ethics
• Possess sound judgment in order to audit calls/files for compliance and quality per Firm/client standards
• Ability to provide objective and fair assessments

Education and/or Experience

High school diploma, general education degree (GED), or tech degree with related compliance, quality assurance, or audit background and/or training; or equivalent combination of education and experience. Bachelor’s degree preferred.

Computer Skills

• Proficiency in MS Office (Outlook, Word, Excel, PowerPoint)
• Proficiency with Crystal reporting is desirable

Work Environment

This position works in a quiet office work environment.