We are hiring a Compliance Specialist in our Houston, TX office. As a Compliance Specialist you will play a central role in helping Nova and its sister companies maintain and demonstrate a culture of compliance, security, and ethics. Additionally, for our companies that offer fiduciary services, the Compliance Specialist will assist with documenting fiduciary activities. The Compliance Specialist will work with senior management and other stakeholders on risk assessments and development of controls. Additionally, the Compliance Specialist will manage and coordinate our SOC audits including interacting with evidence and control owners and outside auditors. Nova will provide internal and outside training for this position.
Job Responsibilities:
- Review compliance dashboard and follow-up with control and evidence owners as necessary
- Alert senior management if a control or evidence owner is not responding appropriately
- Communicate audit results to process owners, explore with them to identify root causes, and help them establish appropriate action plans
- Ensure remediation is completed in a timely manner
- Build and maintain a thorough understanding of the company's operational processes and systems
- Assist outside auditors by making available the information that is necessary to complete their reviews
- Select, obtain, and inspect transactions or original documentation as evidence of control performance
- Review evidence of control performance submitted by others to ensure appropriateness of evidence
- Assist in writing policies and procedures related to compliance
- Assist in developing controls for new risks, requirements or frameworks
- Schedule and facilitate fiduciary meetings
- Prepare meeting minutes and notes
- Coordinate collection of evidence for our fiduciary framework
- Prepare periodic reports for the Board on operating companies' compliance with fiduciary compliance
- Provide periodic training on select policies and related issues to staff
- Serve as backup for other compliance specialist(s) within the Nova family of companies
Qualifications:
- 4-year degree
- Degree in a compliance-related field preferred
- 0-2 years of experience in compliance, internal controls, or risk management
- Classwork or experience with exposure to IT or coding preferred
- Work experience in a professional environment preferred
- Excellent attention to detail
- Exceptional organizational and project management skills
- Strong interpersonal skills with the ability to collaborate with control and evidence owners
- Ability to work with individuals at multiple levels
- Used to managing timelines
- Experience with StrikeGraph or similar software a plus
- Strong Microsoft suite skills
- Base Salary $55,000 - $75,000 depending on experience
- Salaried/non-exempt position
- Medical, dental, disability, and life insurance
- Paid time off
- 401(k) with employer match
- Work hours: 40 hours per week
- You may choose a start time between 7:30 am and 8:30 am
- Work from our Houston, TX office located at 10777 Northwest Freeway Suite 440 Houston, TX 77092
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What We Do
Nova 401(k) Associates provides third party administration services for 401(k) plans and actuarial services for defined benefit and cash balance plans. In this dog-eat-dog world, we give clients and financial advisors the resources and knowledge they need to make informed decisions and run retirement plans successfully.
At Nova 401(k) Associates, we understand your 401(k) plan is a small part of your business. And while your 401(k) plan may seem like a little detail, if you either don’t structure your plan correctly or aren’t proactive in managing it, your 401(k) plan can become a big headache. We fully understand the ins and outs of the 401(k) industry, so we don’t waste your time or money when it comes to creating an efficient 401(k) plan.
The best way for us to serve our clients, is to understand their business. It’s the only way we can tell you what you need to know. Our account managers are skilled at listening to clients and asking the right questions to get to the client’s real goals, issues and problems, so that we can correctly consult without making inaccurate assumptions.
When it comes to 401(k) plan expertise, we cut through the clutter and spare you the information overload. Our account managers are critical thinkers and understand the importance of clear, consistent communication. They talk to our clients and partners in a language they understand. At Nova 401(k) Associates, we offer actionable solutions instead of theoretical approaches
