COMPLIANCE AUDITOR

Job Description

Job Description

Description : General Purpose

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.

Essential Functions

• 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.

Benefits & Perks Include :

Requirements :

Education and / or Experience

Competencies

Computer Skills

Work Environment & Physical Requirements

This role operates in a professional office setting, routinely working with standard office equipment. Generally, due to the nature of this office position, the person in this role would be required to talk and hear, sit or stand for long period of time, and use their hands and fingers, to handle and feel. Occasionally required to walk, reach with arms and hand, climb or balance, and to stoop, kneel, or crouch. Regularly required to lift and / or move up to 10 pounds, occasionally lift and / or move up to 25 pounds. Vision abilities required by the job include close vision.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions and to meet job requirements.