Compliance Auditor

The Compliance Auditor conducts self-directed and impartial reviews to ensure our company's controls are properly designed and functioning successfully. They also make sure we adhere to our own policies and procedures, along with federal and state laws and other essential regulations for our core business. The Compliance Auditor will work closely with operational teams and senior management in the review and testing of compliance controls.

Due to the responsibilities of this position, a weekly onsite presence of 3 days a week at our beautiful Deerfield Beach, FL Headquarters is required.

Responsibilities:

• Analyzing potential risks within specific areas of the company in order to avoid compliance issues
• Inspecting and validating control enhancements and process changes that have been implemented to mitigate risk.
• Regularly test internal processes to ensure adherence to our policies and procedures.
• Work in a self-directed manner to verify internal controls and business operations are effective and complying with regulations.
• Record test results, note any exceptions or observations, and suggest improvements for better control or efficiency.
• 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.
• Document the results of testing and audits to Legal and Operations Management in a clear and concise manner. Performing follow-up testing, as needed, to ensure all agreed to actions have been completed.
• Conducting periodic assessments of key vendors (on-site 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

Job Requirements:

• Bachelor’s degree or higher preferred
• Minimum 3-5 years of experience in the field of operations, project management compliance, legal, or audit
• Exemplary verbal and written communication, organizational, and interpersonal skills
• Proven ability to multi-task, prioritize work, and manage projects to successful completion
• Proficient in Microsoft Word, Excel, and PowerPoint
• Candidate must be available for overnight travel, when required
• 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 management.
• Collaborates appropriately 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.

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