Compliance Auditor
About The Position
As a Compliance Auditor, you will play a crucial role in supporting the Compliance Leadership team, including the Chief Compliance Officer and Compliance Manager, by assisting in the creation and maintenance of compliant procedures and reference materials. You will ensure that transaction closings adhere to procedures and state licensing requirements, and regularly verify licensing for referral partners in various states. Additionally, you will contribute to the implementation and performance of internal audits, identify compliance risks, and manage vendor risk processes.
Requirements
- Minimum 2 years in a compliance/auditor role, preferably within the banking industry.
Nice To Haves
- Experience with data and claims processing.
Responsibilities
- Assist in creating and maintaining compliant procedures and reference materials.
- Review transaction closings to ensure compliance with state licensing requirements.
- Verify licensing requirements for referral partners in California, South Dakota, and other applicable states.
- Help implement and perform audits under the Internal Audit Program.
- Assist in identifying compliance risks and tracking corrective actions.
- Manage vendor risk processes and maintain Venminder relationship.
- Recommend updates to compliance procedures and monitor their implementation.
- Review published content, suggest revisions, and track approvals and distribution.
- Support compliance training for new employees, track attendance, and assist with course completion.
- Ensure adherence to internal policies and procedures.
- Maintain a strong understanding of laws, regulations, and guidelines affecting the business.
Benefits
- Health & Wellness: Medical, dental, vision coverage, prescription plans, and Employee Assistance Program (EAP) for confidential counseling and personal support.
- Financial Security: Company-paid short- and long-term disability, life insurance, flexible spending accounts, and retirement plans (401(k) with employer contributions).
- Time Off: Generous Paid Time Off (PTO), paid holidays, and paid parental leave.
- Additional Perks: Annual HSA contributions, wellness reimbursements, team-building activities, and free office snacks.
- Long-Term Rewards: After three years, enjoy a $2,000 unplugged vacation incentive and a paid sabbatical day.
- Culture & Community: Diversity and wellness committees, fun events, and community service opportunities.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
Number of Employees
1,001-5,000 employees
