Compliance Auditor
Compliance Auditor
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1 Vacancy
Job Description
The Compliance Auditor provides independent and objective assurance services to determine the design and operating effectiveness of key controls and validation of compliance with SETF policies and procedures federal and state regulations and other client regulatory or legal guidelines relevant to our core business. The Compliance Auditor will work closely with operational teams and senior management in the review and testing of compliance controls.
The Compliance Auditor role includes but is not limited to:
Analyzing potential risks within specific areas of the company to avoid compliance issues
Inspecting and validating control enhancements and process changes that have been implemented to mitigate risk.
Conducting ongoing testing of internal processes as assigned by the Compliance Manager or Chief Compliance Officer to ensure compliance with policies and procedures
Maintaining a high level of independence to be able to provide assurance on the effectiveness of internal controls business processes policies and procedures and regulatory compliance.
Documenting test work exceptions observations and making recommendations to enhance controls and/or identify opportunities for improved efficiencies.
Obtaining responses to the testing exceptions and ensuring the responses address the identified control/process weakness or deficiency.
Assisting in preparing reports that summarize the testing and rank by risk the exceptions and recommendations.
Reporting the results of testing and audits to Legal and Operations Management in a clear and concise manner.
Performing followup testing as needed to ensure all agreed to actions have been completed.
Conducting periodic assessments of key vendors (onsite and virtual as applicable)
Reviewing records reports systems and any other relevant programs and activities affected by regulations
Making recommended changes to procedures or practices that are not in compliance with stated regulations and help implement a plan to address such changes
Documenting operational process changes based on policy changes (via workflow etc.)
Working with operations and/or IT to implement changes to processes and/or systems tables etc.
Training associates on process changes
Reporting the results of testing and audits to Legal and Operations Management in a clear and concise manner
Required Competencies:
Applies professional judgment and operational knowledge in assessing the current state of the business area under review comparing that state to what should be and recommending action to be taken.
Build and sustain relationships with audit clients across all business units and all levels of leadership.
Collaborates effectively with the Legal and Compliance team assisting others where needed sharing knowledge and being a team player.
Ability to prioritize and work on multiple concurrent audits projects and compliance related activities as requested.
Qualifications:
Bachelors degree or higher preferred
Minimum 35 years of experience in the field of audit/risk/compliance business operations or legal.
Excellent verbal and written communication organizational and interpersonal skills
Proven ability to multitask prioritize work and manage projects to successful completion
Proficient in Microsoft Word Excel and PowerPoint
Candidate must be available for overnight travel when required
Applicants with expanded skills and experience as noted below may be considered for a Sr. Compliance Auditor role.
Minimum of 57 years of professional experience in audit/risk/compliance accounting or equivalent work experience.
Proven skills in the following areas:
Planning setting objectives and goals and easily breaking down work into process steps. Developing schedules/assignments and anticipating problems/roadblocks to adjust accordingly.
Dealing with Ambiguity effectively coping with change and can act without having the total picture. Does not get upset when things are in question and can easily handle risk and uncertainty.
Negotiating can skillfully negotiate in difficult situations with both internal and external groups without damaging relationships. Is direct and forceful but also diplomatic. Has a good sense of timing and gains the trust of others quickly.
Comfortable Around Higher Management can easily communicate with upper management without nervousness and tension. Understand how senior management thinks and can determine the most effective way to present information.
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This job description may not be inclusive of all assigned duties responsibilities or aspects of the job described and may be amended at any time at the sole discretion of JM Family. All work arrangements are subject to associate performance business need and manager discretion and may be revised as necessary.
JM FAMILY IS PROUD TO BE AN EQUAL OPPORTUNITY EMPLOYER
JM Family Enterprises Inc. is an Equal Employment Opportunity employer. We are committed to recruiting hiring retaining and promoting qualified associates without regard to age race religion color gender sex (including pregnancy childbirth and related medical conditions) sexual orientation gender identity gender expression mental or physical disability national origin marital status citizenship military status genetic information veteran status or any other characteristic protected by federal state provincial or local law.
DISABILITY ACCOMMODATIONS
If you have a disability and require a reasonable accommodation to complete the job application process please contact JM Familys Talent Acquisition department at for assistance. If you have an accommodation request for one of our recruiting events please notify us at least 72 hours prior so that we may provide assistance.
Employment Type
Full-Time
