Audit Response Specialist

Futurex•Bulverde, TX

3d•Onsite

About The Position

The Audit Response Specialist is responsible for ensuring that the organization adheres to all relevant regulatory requirements and internal policies when dealing with customers. This role involves answering vendor inquiries regarding customer compliance, conducting compliance reviews, and providing support to ensure that all customer interactions and transactions meet legal and regulatory standards.

Requirements

Bachelor’s degree in Law, Business Administration, Finance, or a related field.
3-5 years of experience in compliance, risk management, or a similar role, preferably within the financial services industry.
Strong knowledge of regulatory requirements and compliance standards.
Excellent analytical and problem-solving skills.
Effective communication and interpersonal skills.
Attention to detail and ability to handle confidential information.

Nice To Haves

Certification in compliance (e.g., Certified Compliance & Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM)) is a plus.

Responsibilities

Review and verify customer documentation to ensure compliance with regulatory standards.
Conduct regular compliance audits of customer interactions and transactions.
Ensure customer data and activities comply with internal policies and external regulations.
Answer inquiries from vendors regarding customer compliance and due diligence.
Provide necessary documentation and information to vendors to facilitate compliance.
Act as a liaison between the organization and vendors to address compliance-related questions and issues.
Identify potential compliance risks associated with customer transactions and relationships.
Develop and implement risk mitigation strategies.
Monitor customer activities for any suspicious or non-compliant behavior.
Stay updated with changes in regulatory requirements affecting customer compliance.
Ensure the organization’s compliance practices align with current laws and regulations.
Assist in preparing for regulatory audits and inspections.
Maintain detailed and accurate records of all compliance activities and findings.
Prepare compliance reports for senior management and regulatory bodies.
Document and report any compliance violations or issues.