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Compliance Auditor - ONET Job Title: (Legal Support Workers, not listed separately)
Industry: Corporate, Subsidiary, and Regional Managing Offices share on twitter share on Facebook
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Job Title:   Compliance Auditor
ONET Job Title:   Legal Support Workers, not listed separately
Industry:   Corporate, Subsidiary, and Regional Managing Offices
Job Type:   Permanent
Job Shift:   First Shift (Day)
Job Location:   St. Croix
Minimum Education:   Bachelors Degree
Degree Title:   Bachelors
Career Level:   Experienced (Non-Manager)
Minimum Experience:   2 Years
Required Travel:   Not Required
Apply By:   May 22, 2017
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Job Description:

Position Summary:

 

This position functions as the Compliance Auditor for Cane Bay Partners VI, LLLP.  The Compliance Auditor works with the Legal/Compliance department to ensure companywide compliance with consumer protection laws and regulations.  Under the direction of General Counsel and Compliance Counsel, the Compliance Auditor is responsible for working independently on assigned projects and tasks.  The Compliance Auditor demonstrates knowledge of the laws and regulations on Exhibit A and compliance monitoring activities to effectively perform duties that support the company’s compliance program.  The Compliance Auditor initiates and performs control assessments, audits and investigations of the operations in support of compliance.

 

Essential Functions:

 

•      Review and investigate complaints and reports of non-compliance received through regulatory agencies, internal departments, and business partners

•      Monitor and prepare reports on compliance activities

•      Complete compliance control assessments, audits and monitoring of the operations

•      Prepare control assessment, audit and investigation reports of findings and observations that identify, in detail, areas of non-compliance and risk areas for non-compliance

•      Review policies, procedures, call scripts, agreements, disclosures, marketing materials and other documentation for compliance with regulations

•      Document all compliance activities in accordance with department policies

•      Other related duties as assigned

 


Skills Required

Essential Skills:

 

•      Analytic - Synthesize complex, diverse information; collect and research data

•      Writing -  Communicate effectively and concisely

•       Speaking - Convey information effectively

•       Time Management and Organization - Effectively manage time to accomplish maximum office productivity

•       Critical Thinking - Use logic and reason to identify alternative solutions, conclusions or approaches to identified issues

•       Project Management - Coordinate projects; and communicate changes in progress in order to complete projects in a timely manner

•       Problem Solving - Identify and resolve problems in a timely manner; gather and analyze information skillfully; and develop alternative solutions

•       Corporate Knowledge - Working knowledge of corporate structure

•      Word Processing - Ability to manipulate and use Microsoft Office Products

•       Client Interviews - Ability  to conduct limited client interviews and obtain desired information

 

Essential Attributes:

 

·    Oral and Written Expression - Ability to communicate information and ideas

·    Oral Comprehension - Ability to follow complex instructions with high degree of accuracy

•   Multitasking - Ability to prioritize, multitask, work well under pressure and meet set deadlines

 

Experience and Education:

 

•       Bachelor's Degree

•       Two years of experience in a legal, regulatory, compliance or audit position

•       Understanding of laws/regulations on Exhibit A

•       Auditing experience

•       Meticulous attention to detail

•       Excellent communication and interpersonal skills

 

Computer Skills:

 

Advanced skills using Microsoft office products; Word, Excel, & PowerPoint, SharePoint, Outlook .

 

 

 

Physical Requirements:

 

Must be able to stand and sit for long periods of time Occasionally lift up to 10 lbs.

Must be able to sit in front of computer monitor(s) for long periods of time

Noise level: moderate noise level daily in an office atmosphere

 

 


 

 

 

 

 

 



Company Information More jobs from this company 
Company Name: Cane Bay Partners VI LLLP
Company Description:
Financial Consulting 
        
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