Compliance Auditor

Job Description

Job Description

Description : Compliance Auditor

Reports to : Compliance Manager

Classification : Full time, Hourly

JOB DESCRIPTION

Summary / Objective

This position is an entry-level position, responsible for monitoring compliance with ECG policies, related procedures, training materials, and operational tracking reports. The Compliance Auditor will assist the Chief Compliance Officer and Compliance Manager in developing an Internal Audit Program, will share responsibility for implementation of the Internal Audit Program under the direction of the Compliance Manager, will share responsibility for the Vendor Risk Management Program under the direction of the Compliance Manager, and will perform such related tasks as may be determined to be in the interest of the company from time to time.

Essential Functions

• Assist the Chief Compliance Officer, Compliance Manager and members of senior management in developing, updating, and maintaining compliant Procedures and compliant reference materials, such as, marketing materials, social media posts, website materials, articles, portal materials (“Content”) for all aspects of business operations.
• Audit various transaction closings to ensure compliance with applicable procedures, including compliance with various state licensing requirements, under the direction of the Compliance Manager.
• Confirm California and South Dakota, and other states as applicable, licensing requirements of all referral partners on a revolving basis, but not less than once every six months, as well as transactional documents to ensure compliance.
• Assist the Chief Compliance Officer and Compliance Manager in implementing the Internal Audit Program.
• Perform internal compliance audits assigned under the Internal Audit Program under the direction of the Compliance Manager.
• Assist the Compliance Manager in assessing business practices to identify compliance risks and, as necessary, track implementation of management-approved corrective actions.
• Manage implementation of the Vendor Risk Management Policy, manage the Venminder relationship and route vendor contract updates to the appropriate departments under the direction of the Compliance Manager.
• Make recommendations to the Chief Compliance Officer and Compliance Manager for revised and updated procedures to address compliance issues.
• Assist in reviewing published Content periodically and making recommendations for revisions in scope, format, content, and publication method (“Revisions”).
• Monitor implementation of agreed upon Content Revisions under the direction of the Compliance Manager.
• Monitor Content distribution and documenting the approval history for each item of Content from key stakeholders under the direction of the Compliance Manager.
• Assist in the development of a compliance risk management culture within the company.
• Assist the Compliance Manager and the Director of Human Resources in on-boarding and compliance training of new employees.
• Track attendance at training sessions and assist the Director of Human Resources in monitoring employee completion of mandatory courses.
• Assist the Compliance Manager in the delivery of training, as requested from time to time.
• Actively monitor compliance with all internal policies and procedures.
• Develop and maintain an effective working knowledge of laws and regulations affecting the company’s business and related guidelines.

Required Education and Experience

Supervisory Responsibilities

Work Environment

Physical Demands

Position Type / Expected Hours of Work

Other Duties

Employee signature below constitutes employee's understanding of the requirements, essential functions and duties of the position.

Employee__________________________________ Date_____________

Requirements :