Compliance Auditor

Compliance Auditor is an essential part of the Compliance Department who will be responsible for performing and reporting department audits and investigative reviews to combat illegal, unethical, or improper conduct within PUC department service standards, performance standards, processes, and procedures. Audit assignments can range from desks and/or onsite reviews as determined by each department’s needs. The Compliance Auditor will oversee and conduct audits, identify risks, and maintain compliance records. 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 the Employer.

Process and Procedure:

• Create digital forms for departments as needed
• Highlight potential recommendations to better procedures or practices that are not in compliance with Company service standards or regulations; present these recommendations to the Compliance Analyst

Compliance Audits

• Conduct Weekly, Bi-weekly, Monthly, Quarterly and Annual internal Company audits
• Conduct risk assessment of assigned departments or functional areas in an established/required timeline
• Communicate findings to Compliance Analyst to draft comprehensive and complete report of audit area

Safety:

• Creates vehicle usage reports as needed and upon management requests for driving audit records
• Provides PUC Intranet updates as needed for information and/or forms created

Reporting:

• Provides documentation of quality and compliance activities, such as complaints received or investigation outcomes to the Compliance Analyst
• Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.

• Active Listening – Giving full attention to what other people are saying, taking tine to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
• Critical Thinking – Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
• Reading Comprehension – Understanding written sentences and paragraphs in work related documents.
• Speaking – Talking to others to convey information effectively.
• Writing – Communicating effectively in writing as appropriate for the needs of the audience.
• Coordination – Adjusting actions in relation to others’ actions.
• Judgment and Decision Making – Considering the relative costs and benefits of potential actions to choose the most appropriate one.
• Time Management – Managing one’s own time and the time of others.
• Social Perceptiveness – Being aware of other’s reactions and understanding why they react as they do.
• Computer Skills such as Microsoft Word, Microsoft Excel, Microsoft Outlook, SharePoint, Power Apps and Crystal Reports.
  • SharePoint and Power Apps. preferred.
  • Crystal Reports preferred but not required.
  • Excel spreadsheet knowledge