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.

Benefits & Perks Include:

• Medical, Dental, & Vision Insurance
• HSA & FSA Accounts
• 401K, with 4% company contribution (after 1 year of service)
• Paid time off (17 days per year)
• Paid holidays off (7 days per year + a floating holiday)
• Company Paid Life Insurance
• Employee Assistance Program
• Eligibility in Annual Discretionary Bonus
• Building amenities include: Free parking, onsite restaurant, & onsite free gym
• Hybrid Remote Schedule Potential (up to 2 days per week) after successfully completing 90 Days of Employment & Meeting Eligibility Criteria

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.

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

Computer Skills

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

Work Environment & Physical Requirements

This role operates in a professional office setting, routinely working with standard office equipment. Generally, due to the nature of this office position, the person in this role would be required to talk and hear, sit or stand for long period of time, and use their hands and fingers, to handle and feel. Occasionally required to walk, reach with arms and hand, climb or balance, and to stoop, kneel, or crouch. Regularly required to lift and/or move up to 10 pounds, occasionally lift and/or move up to 25 pounds. Vision abilities required by the job include close vision.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions and to meet job requirements.

Compensation details: 18-18 Hourly Wage

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