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Title
Text copied to clipboard!Compliance Auditor
Description
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We are looking for a meticulous and experienced Compliance Auditor to join our team. The ideal candidate will be responsible for ensuring that our organization adheres to legal standards and in-house policies. You will be tasked with enforcing regulations in all aspects and levels of business as well as providing guidance on compliance matters. The goal is to preserve the company’s integrity by making sure it stays on a lawful and ethical course. As a Compliance Auditor, you will review and evaluate compliance issues/concerns within the organization. You will ensure the Board of Directors, management, and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct. You will also be responsible for developing, initiating, maintaining, and revising policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. The Compliance Auditor will also be responsible for monitoring and reporting results of the compliance/ethics efforts of the company and providing guidance for the Board and senior management team on matters relating to compliance. This role requires a high level of integrity, as you will be responsible for ensuring that the company operates within the law and meets current regulatory standards. You will also need to be highly analytical, with the ability to interpret complex regulations and translate them into actionable policies and procedures. Strong communication skills are essential, as you will need to effectively communicate compliance requirements to all levels of the organization and ensure that these requirements are understood and followed. If you are a detail-oriented professional with a strong background in compliance and auditing, we would love to hear from you.
Responsibilities
Text copied to clipboard!- Conduct audits to ensure compliance with regulations and internal policies.
- Develop and implement compliance policies and procedures.
- Monitor and report on compliance issues and activities.
- Provide guidance on compliance matters to the Board and senior management.
- Review and evaluate compliance issues/concerns within the organization.
- Ensure the organization adheres to legal standards and in-house policies.
- Enforce regulations in all aspects and levels of business.
- Develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program.
- Prevent illegal, unethical, or improper conduct.
- Monitor and report results of the compliance/ethics efforts of the company.
- Provide guidance for the Board and senior management team on matters relating to compliance.
- Ensure the company operates within the law and meets current regulatory standards.
- Interpret complex regulations and translate them into actionable policies and procedures.
- Communicate compliance requirements to all levels of the organization.
- Ensure compliance requirements are understood and followed.
- Conduct risk assessments and identify potential areas of compliance vulnerability.
- Develop and implement corrective action plans for resolution of problematic issues.
- Provide training and education to employees on compliance-related topics.
- Stay up-to-date with changes in regulations and industry standards.
- Collaborate with other departments to ensure compliance with regulatory requirements.
Requirements
Text copied to clipboard!- Bachelor’s degree in Business, Law, Finance, or related field.
- Certified Compliance and Ethics Professional (CCEP) or similar certification preferred.
- Minimum of 5 years of experience in compliance auditing or related field.
- Strong knowledge of regulatory requirements and industry standards.
- Excellent analytical and problem-solving skills.
- High level of integrity and ethical standards.
- Strong communication and interpersonal skills.
- Ability to interpret complex regulations and translate them into actionable policies and procedures.
- Detail-oriented with strong organizational skills.
- Ability to work independently and as part of a team.
- Proficient in Microsoft Office Suite and compliance management software.
- Experience conducting risk assessments and developing corrective action plans.
- Ability to provide training and education on compliance-related topics.
- Strong report writing and presentation skills.
- Ability to stay up-to-date with changes in regulations and industry standards.
- Experience working with regulatory agencies and external auditors.
- Ability to handle confidential and sensitive information with discretion.
- Strong project management skills.
- Ability to travel as needed.
- Fluency in multiple languages is a plus.
Potential interview questions
Text copied to clipboard!- Can you describe your experience with compliance auditing?
- What certifications do you hold related to compliance and ethics?
- How do you stay up-to-date with changes in regulations and industry standards?
- Can you provide an example of a time when you identified a compliance issue and how you resolved it?
- How do you ensure that employees understand and follow compliance requirements?
- What strategies do you use to conduct risk assessments?
- Can you describe a time when you had to develop a corrective action plan?
- How do you handle confidential and sensitive information?
- What experience do you have working with regulatory agencies and external auditors?
- How do you communicate compliance requirements to different levels of the organization?
- Can you describe a time when you had to enforce compliance regulations in a challenging situation?
- What tools and software do you use for compliance management?
- How do you ensure that your compliance policies and procedures are effective?
- Can you describe your experience with providing training and education on compliance-related topics?
- What do you believe are the most important qualities for a Compliance Auditor to have?
- How do you handle situations where there is a conflict between business objectives and compliance requirements?
- Can you describe a time when you had to collaborate with other departments to ensure compliance?
- What steps do you take to monitor and report on compliance issues and activities?
- How do you ensure that your compliance program is proactive rather than reactive?
- Can you describe a time when you had to provide guidance to senior management on a compliance matter?
