Senior Compliance Auditor

Deerfield Beach, FL - USA

Monthly Salary: Not Disclosed

Posted on: 30+ days ago

Vacancies: 1 Vacancy

Job Summary

The Senior Compliance Auditor is a newly created position to support the expansion of JM&A Groups Compliance department. Under the supervision of the Compliance Manager this position will be responsible for performing risk assessments testing in accordance with the audit plan and supporting compliance activities.

This roles responsibilities include but are not limited to:

Responsibilities:

Help to identify emerging risks participate in risk discussions and document risk assessments for regulatory dealer agreement compliance and enterprise risk management.
Assist in the development of the annual project plan based on risk assessments.
Perform walkthroughs to document processes identify regulatory and/or contractual requirements develop risk and control matrices and assist with the development of risk-based audit programs.
Conduct second line of defense testing to assess the design and operating effectiveness of key controls and validate compliance with policies and procedures federal and state regulations contracts and other guidelines relevant to the core business.
Conclude if a control/process has a gap in its design or operating effectiveness and/ or if non-compliance has occurred and document workpapers to clearly support test conclusions and recommendations.
Obtain business responses to testing results and recommendations to enhance the control environment.
Summarize and present test results and recommendations to the Compliance Manager.
Assist with enterprise risk management activities including vendor management and regulatory compliance.

Qualifications:

Minimum of three years of public accounting internal audit or compliance audit experience.
Bachelors degree in Accounting Finance or a related field; Masters degree is a plus.
CPA CIA or related certification a plus.
Strong analytical critical thinking research and legal & compliance interpretation skills.
Strong verbal and written communication skills.
Strong desire to pursue continuous improvement learning and excellence.
Solid organizational and interpersonal abilities.
Proven ability to effectively multi-task manage time and prioritize competing demands.
Ability to work independently and cooperate as part of a team.
Ability to maintain a curious considerate and professional demeanor.

#LI-Hybrid

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.

Required Experience:

Senior IC

The Senior Compliance Auditor is a newly created position to support the expansion of JM&A Groups Compliance department. Under the supervision of the Compliance Manager this position will be responsible for performing risk assessments testing in accordance with the audit plan and supporting complian...