What are the responsibilities and job description for the Compliance Auditor position at Caliber Financial Services?
Job Title: Compliance Auditor
Department: Legal – Internal Audit
Reports To: Director of Internal Audit
Position location: This is a hybrid position. Candidates MUST reside in the Kansas City Metro area in order to be considered. No exceptions. This role is required to be in the office Tues-Thurs on a weekly basis.
Summary
The Compliance Auditor is responsible for evaluating and ensuring the company’s adherence to regulatory requirements, internal policies, and industry standards. This role conducts audits, reviews processes, identifies compliance risks, and reports findings to support the development of a strong compliance framework. The Compliance Auditor collaborates with different departments to implement corrective actions and promotes a culture of compliance across the organization.
Responsibilities include the following:
- Audit Planning and Execution: Plan and conduct audits across various departments to assess compliance with regulations, policies, and procedures.
- Risk Assessment: Identify and evaluate potential compliance risks, providing recommendations for mitigating actions.
- Documentation Review: Examine records, documentation, and operational processes to ensure regulatory and policy adherence.
- Reporting and Documentation: Prepare detailed audit reports summarizing findings, highlighting risks, and recommending corrective actions.
- Corrective Action Monitoring: Collaborate with departments to implement corrective actions and ensure follow-up on audit findings.
- Compliance Training and Support: Assist in developing and delivering training programs to promote compliance awareness among employees.
- Continuous Improvement: Contribute to the development of best practices and continuous improvement initiatives within the compliance function.
Supervisory Responsibilities
This job has no supervisory responsibilities.
Education and Experience
- Required: 2 years of experience in compliance, auditing, or a related field.
- Preferred: Experience in [relevant industry] and familiarity with industry-specific regulations.
- Required: Bachelor’s degree in Business, Finance, Accounting, or a related field.
- Preferred: Certification such as Certified Internal Auditor (CIA), Certified Compliance & Ethics Professional (CCEP), or Certified Regulatory Compliance Manager (CRCM).
Skills and Competencies:
- Knowledge of auditing practices, compliance regulations, and risk management.
- Strong analytical skills and attention to detail.
- Effective written and verbal communication skills.
- Proficiency in audit and compliance management tools and Microsoft Office Suite.
- Ability to work independently and manage multiple priorities.
Work Environment
This is a hybrid position. Candidates MUST reside in the Kansas City Metro area in order to be considered. No exceptions. This role is required to be in the office Tues-Thurs on a weekly basis.
