Compliance Auditor

The Compliance Auditor provides independent and objective assurance services to determine the design and operating effectiveness of key controls and validation of compliance with SETF policies and procedures, federal and state regulations, and other client, regulatory, or legal guidelines relevant to our core business. The Compliance Auditor will work closely with operational teams and senior management in the review and testing of compliance controls.ResponsibilitiesAnalyzing potential risks within specific areas of the company to avoid compliance issuesInspecting and validating control enhancements and process changes implemented to mitigate risk.Conducting ongoing testing of internal processes as assigned by the Compliance Manager or Chief Compliance Officer to ensure compliance with policies and proceduresMaintaining a high level of independence to be able to assure the effectiveness of internal controls, business processes, policies, procedures, and regulatory compliance.Documenting test work, exceptions, observations, and making recommendations to enhance controls and/or identify opportunities for improved efficiencies.Obtaining responses to the testing exceptions and ensuring the responses address the identified control/process weakness or deficiency.Assisting in preparing reports that summarize the testing and rank by risk the exceptions and recommendations.Reporting the results of testing and audits to Legal and Operations Management in a clear and concise manner.Performing follow-up testing, as needed, to ensure all agreed-upon actions have been completed.Conducting periodic assessments of key vendors (on-site and virtual, as applicable)Reviewing records, reports, systems, and any other relevant programs and activities affected by regulationsMaking recommended changes to procedures or practices that are not in compliance with stated regulations, and helping implement a plan to address such changesDocumenting operational process changes based on policy updates, partnering with Operations and/or IT to implement process and system changes, and training associates on resulting process changes.Training associates on process changesReporting the results of testing and audits to Legal and Operations Management in a clear and concise mannerDepending on the candidate's experience, demonstrated expertise, and scope of responsibilities assigned, in addition to the responsibilities above, a senior-level candidate's role includes, but is not limited to:Developing risk-based programs to test key processes and controls.Leading other auditors and coordinating testing/projects, as assigned, to ensure timely completion.Independently preparing reports that summarize the testing and rank by risk the exceptions and recommendations.Presenting testing findings and recommendations to all levels of management.QualificationsBachelor's degree or higher preferred3–7 years of experience in operations, project management, compliance, legal, or auditExcellent verbal and written communication, organizational, and interpersonal skillsProven ability to multitask, prioritize work, and manage projects to successful completionProficient in Microsoft Word, Excel, and PowerPointCandidate must be available for overnight travel when requiredSound professional judgment and operational knowledge to assess the current state of a business area, compare it to what should be, and recommend appropriate actionAbility to build and sustain strong relationships with audit clients across all business units and all levels of leadershipCollaborative team player who works effectively with the Legal and Compliance team, shares knowledge, and supports others where neededAbility to prioritize and work on multiple concurrent audits, projects, and compliance-related activities as requestedIn addition to the qualifications above, a senior-level candidate should also demonstrate:Strong planning skills — sets objectives and goals, breaks work into clear process steps, develops schedules and assignments, and anticipates and adjusts for problems or roadblocksAbility to deal with ambiguity — effectively copes with change, acts without the total picture, and handles risk and uncertainty with composureSkilled negotiation abilities — navigates difficult situations with internal and external groups diplomatically, is direct yet tactful, and quickly gains the trust of othersComfort engaging with higher management — communicates confidently with upper management, understands how senior leaders think, and tailors information for maximum impact#LI-KB1This 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 JM Family. All work arrangements are subject to associate performance, business need and manager discretion, and may be revised as necessary.JM FAMILY IS PROUD TO BE AN EQUAL OPPORTUNITY EMPLOYERJM Family Enterprises, Inc. is an Equal Employment Opportunity employer. We are committed to recruiting, hiring, retaining, and promoting qualified associates without regard any characteristic protected by law – whether actual or perceived – including race, color, creed, religion, national origin, ancestry, citizenship status, age, sex or gender (including pregnancy, childbirth, related medical conditions and lactation), gender identity gender expression, sexual orientation, marital status, military service, veteran status, disability, protected medical condition as defined by applicable state or local law, genetic information, or any other characteristic protected by applicable federal, state, provincial, or local law.DISABILITY ACCOMMODATIONSIf you have a disability and require a reasonable accommodation to complete the job application process, please contact JM Family’s Talent Acquisition department at View email address on click.appcast.io for assistance. If you have an accommodation request for one of our recruiting events, please notify us at least 72 hours prior so that we may provide assistance. #J-18808-Ljbffr JM Family Enterprises