Compliance Auditor

Compliance Auditor

The Compliance Auditor acts as a liaison between client/vendor and firm for coordination of on-site and remote audit responses, internal reviews, compiling of account level data and audit sampling, and compliance policy updates.

Responsibilities/Duties/Functions/Tasks:

• Assists in coordinating assignments and deadlines for inbound client audit inquiries including drafting overview of firm's policies and procedures and assembling account level data for audit sampling
• Coordinates and disseminates questions throughout Firm to subject matter experts. Works to gather required information in a timely and organized fashion
• Provides editing and submission consistency in writing and tone of responses
• Responding to inquiries, reviews documents and provides information where possible, from existing Firm data
• Compiles reports and provides initial review of data in response to client and internal requests
• Packages documents, both printed and electronic, and delivers to clients by required dates
• Maintains audit response information within department and makes updates to resources used firm wide regarding standard practices
• Performs internal reviews of Firm and client procedures including account level review to ensure adherence to standards
• Assists Compliance Unit with policy review and maintains company documents in designated location
• Coordinates document and policy gathering from existing vendors to assist Compliance Unit and Security Manager
• Complete all required training applicable to this position
• Regular and predictable attendance is an essential function of this position
• Other duties, as assigned

Qualifications:

• College degree preferred, High school diploma or general education degree (GED) required.
• 3 years relevant collection or legal experience or understanding or an equivalent combination of education, training, and experience.
• Excellent written and oral communication skills.
• Excellent attention to detail and time management skills to meet concurrent deadlines.
• Proficient in using Microsoft Excel and other tools to complete electronic questionnaires or compile account level data in a consistent format.
• Collaboration with internal departments and external clients for information sharing and gathering.
• Must be able to use Microsoft Office products (Word, Excel, Outlook)

Compensation and Benefits:

• The expected pay range for this position is $53,902.85 - $67,380.06 based upon experience
• Paid Time Off (PTO) - 16 days annually + 9 Company paid holidays
• Competitive benefits - Medical, Rx, Dental, Vision, 401(k), Parental Leave, Life and Disability Insurance and more. You can review our benefits at for more information.
• Promotional opportunities from within the Firm
• Employee Perks available from Verizon, Car Dealerships, Local Movie Theaters, Theme Parks, etc. Positive office environment with regularly scheduled parties, contests, and community support initiatives
• On site "Bistro To Go" vending and fresh foods available
• Free parking
• Free onsite fitness center for all employees

Physical and Mental Demands:

The physical and mental demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to remain in a stationary position at a workstation. This position requires constant use of hands and fingers for typing and operating a computer and other office equipment. The employee must possess the ability to communicate information and ideas in writing and verbally. Occasional standing, walking, bending, and lifting of items weighing up to 15 pounds may be required. Close visual acuity is needed to read, analyze data, and view a computer terminal for extended periods.

Work Environment:

This position operates in a professional office environment. It is representative of those an employee encounters while performing the essential functions of this job. The employee will experience low to moderate noise levels and moderate interruptions. The workspace is well-lit and climate controlled.

EEO Statement: Weltman is an equal opportunity employer.

Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.