Compliance Auditor - Remote

Overview

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.

In Short

• 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.

Requirements

• High school diploma/GED, or tech degree with related compliance, quality assurance, or audit background and/or training; or equivalent combination of education and experience.
• 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

Benefits

• 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