Compliance Assistant - AZ - On Site

Compliance Assistant

The Compliance Assistant provides administrative and operational support to the Compliance team to help maintain the organization's overall compliance with applicable laws, regulations, and internal policies. This role supports licensing activities, compliance filings, documentation management, and audit preparation while ensuring accuracy, timeliness, and organization. The Compliance Assistant works under the guidance of the Compliance Specialist, Supervisor, or Manager and plays an important role in maintaining regulatory compliance for the organization and its clients.

Essential Duties and Responsibilities:

• Assist the Compliance team with the preparation, completion, and submission of licensing and compliance filings in accordance with state regulations and internal procedures.
• Organize, track, and maintain compliance records, documentation, and regulatory files to ensure accuracy and completeness.
• Monitor shared compliance inboxes, emails, and communications, routing inquiries and documentation to appropriate team members in a timely and professional manner.
• Enter, update, and maintain compliance data within internal systems and compliance tracking tools.
• Track deadlines, renewals, and required updates to support ongoing regulatory compliance.
• Identify missing, incomplete, or inconsistent information and escalate issues to the Compliance Specialist or Supervisor as appropriate.
• Assist with routine audits, reviews, and document requests by gathering, organizing, and preparing documentation.
• Perform routine administrative duties to support daily compliance operations.
• Regular, on-site attendance is an essential job function due to the need for secure access to systems, collaboration on sensitive technical matters, participation in operational meetings, and hands-on involvement.

Marginal Functions:

• Build, maintain and promote relationships with team members, peers across disciplines, and all other company team members ensuring effective coordination of communications and services affecting clients.
• Attend webinars and training to stay up to date on best practices related to the company and department.
• Support document retention efforts, including archiving or purging outdated compliance records in accordance with policy.
• Assist with vendor or third-party compliance requests as assigned.
• Complete projects and other duties as assigned by supervisor.

Knowledge, Skills, and Abilities:

• Strong attention to detail and ability to accurately handle documentation and data entry.
• Effective written and verbal communication skills for professional correspondence.
• Strong organizational, time management, and prioritization skills.
• Ability to follow established procedures and meet deadlines in a structured environment.
• Ability to manage routine tasks while handling multiple assignments.
• Basic analytical skills to support compliance reporting and issue identification.
• Professionalism, discretion, and ethical awareness when handling sensitive information.
• Team-oriented mindset with adaptability and willingness to learn.

Education & Experience:

• High School Diploma or GED required - or related experience required or equivalent combination of experience, skills, education (including other relevant non-traditional degree programs, or job training programs) preferred.
• Prior work experience in an office environment is preferred but not required.
• Experience in Microsoft Office software (Outlook, Teams, Excel, PowerPoint) and demonstrated ability to learn other applications as needed.

Required Licenses and/or Certifications:

• Not Applicable.

Physical, Mental, & Communication Demands Physical Demands:

• Sedentary Work: Primarily involves sitting for extended periods, often at a desk or computer.
• Manual Dexterity: Frequent use of hands and fingers to operate a computer keyboard, mouse, and other office equipment.
• Mobility: Occasionally walking or traversing throughout the office to meet with leaders and other employees.
• Visual Acuity: Ability to read and analyze data on a computer screen (or to read and analyze data with reasonable accommodation) and in printed materials.
• Lifting & Carrying: Minimal physical lifting required, but may involve handling documents, and lifting light office supplies.

Mental Demands:

• Attention to Detail: Consistent focus required to ensure accuracy in documentation, data entry, and compliance records.
• Task Management: Ability to manage routine, repetitive tasks and maintain organization while working on multiple assignments.
• Deadline Awareness: Ability to follow established processes and meet routine deadlines in a structured environment.
• Concentration: Moderate concentration required for reviewing information, tracking data, and completing administrative tasks.
• Adaptability: Ability to adjust to changes in priorities, procedures, or regulatory requirements with guidance.

Communication Demands:

• Written Communication: Ability to draft, review, and respond to emails and basic written correspondence in a clear and professional manner.
• Verbal Communication: Ability to communicate effectively with internal team members and supervisors to ask questions, provide updates, and receive instructions.
• Interpersonal Interaction: Professional and respectful interaction with coworkers while working collaboratively within the Compliance team.
• Confidentiality Awareness: Ability to communicate discreetly and handle sensitive information appropriately.
• Cultural Sensitivity: Communicate with individuals from diverse cultural backgrounds, demonstrating cultural awareness and sensitivity.

Environmental Conditions This position is performed in a professional office environment and requires regular use of computers and standard office equipment. The work setting is climate-controlled with typical office lighting and low to moderate noise levels. The role involves extended periods of screen time, in-person collaboration and meetings, and minimal exposure to physical hazards.

Disclaimer This job description in no way states or implies that these are the only duties to be performed by the employee filling this position. Employee will be required to follow any other job-related instructions and to perform any other job-related duties requested by management. Management has the right to add to, revise, or delete information in this job description. Reasonable accommodation will be made to enable qualified individuals with disabilities to perform the essential functions of this position. This document does not create an employment contract, implied or otherwise, other than an "at will" employment relationship.

This position is eligible for the following benefits:

• Health Insurance: Medical, dental, and vision coverage
• Retirement Plan: 401(k) with company match
• Paid Time Off: PTO, Holidays, Parental leave and Sick Leave provided as required by applicable state law
• Other Benefits: Life insurance, short term disability, long term disability, employee assistance program (EAP), flexible spending account (FSA), health savings account (HSA), Identity theft protection, critical illness, accident, cancer, hospital protection, legal and pet insurance.

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