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 work collaboratively with the Compliance Manager to create, build AND maintain the Company’s Compliance Department.

Performance and Service Standards

The Compliance Auditor will oversee and conduct audits, identify risks and maintain compliance records.

Process and Procedure:

Create digital forms for departments as needed

Compliance Audits

Plan, establish and conduct Weekly, Bi-weekly, Monthly, Quarterly and Annual internal Company audits (Ref. C 2.0 ss)

Conduct risk assessment of assigned departments or functional areas in an established/required timeline

Determine scope of review in conjunction with Compliance Manager

Determine compliance with Company policies and procedures

Communicate findings to Compliance Manager to draft comprehensive and complete report of audit area

Provide recommendations to better procedures or practices that are not in compliance with Company service standards or regulations

Keep track of violations/noncompliance reports and responses and plans regarding these findings

Safety:

Provide site visit locations to Site Safety Representatives daily. (Ref. C 5.1 ss)

Complete daily site visit findings spreadsheet and provide to Operations team (Ref. C 5.1.2 ss)

Create monthly Site Audit Report and provide to Compliance Manager (Ref. C 5.2 ss)

Provide site visits locations to Compliance Manager for PRM (Premier Risk Management) (Ref. C 5.3 ss)
 
 

Reporting:

Maintain documentation of quality and compliance activities, such as complaints received or investigation outcomes.

Prepare management reports regarding quality and compliance operations and process.

Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
 

Qualifications

Qualifications

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