Compliance Examiner

Job Description

Job Description

Summary

Responsible for conducting regulatory compliance reviews of Company transactions, policies and procedures, conducting compliance investigations and providing support for department initiatives as directed by department leadership.

Compensation: $16 per hour

Essential Duties and Responsibilities include the following:

• Reviews transactional data created by the Company’s dealerships for adherence to applicable laws, regulations and Company policies and documenting deficiencies within the system.
• Communicates deficiencies to department leadership and assists in tracking remedial effort.
• Assists in conducting trend analysis of company data to recognize abnormalities and escalates findings to supervisor.
• Assists with execution of risk assessments and tracking mitigation of recognized risks.
• Monitors Company processes and procedures to ensure compliance with state and federal laws and regulations and reporting any identified risks to department leadership.
• Assists in tracking and escalating remediations for deficiencies recognized during monitoring of Company processes and procedures.
• Conducts reviews and updates of department and Company policies related to Compliance and Internal Audit functions;
• Conducts research to ensure the Company’s policies and processes are up to date and compliant with federal and state laws and regulations and relays any changes to department leadership.
• Assists with the development, maintenance and delivery of scheduled and ad-hoc reporting of related to department initiatives.
• Assists in the development, maintenance and delivery of department training and informational materials.
• Conducts confidential Compliance investigations as directed by department leadership.
• Conducts changes and regular updates of department compliance software as directed by department leadership with vendor partner.
• Follows Company policies and procedures and supports Company Mission, Vision, Values and Standards of Ethics.
• Daily attendance required to ensure all duties are completed in a timely fashion.
• Other duties and responsibilities as assigned by direct manager.

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