Risk & Compliance Support Specialist

Provest LLC•Brentwood, NY

5d•Onsite

About The Position

While upholding department and company policies, the Risk & Compliance Support Specialist role is responsible for conducting and/or overseeing ProVest’s New York Department of Consumer and Worker Protection (“NYC DCWP”) Process Server Audit Program for all New York City Process Servers to ensure compliance with all regulatory and legal requirements. Additionally, a key component of this position is to serve as the compliance advocate and direct liaison to the process servers and management on procedural changes and compliance control implementations necessary to achieve compliance.

Requirements

Exercise sound analytical skills
Proven problem solving skills
Maintain a high level of organization and acute attention to detail in daily work duties
Maintain a high level of work ethic
Effective communication skills (written and verbal)
Ability to lead others to identify potential exposures and embrace required changes
Project professional cooperative demeanor at all times
High integrity and trustworthiness
Exercises sound judgment and critical thinking
Proficient in Microsoft Office, Advanced Excel skills a plus
Minimum typing skills of 30 WPM

Nice To Haves

Familiarity with legal documents preferred
Audit experience a plus

Responsibilities

Perform compliance and auditing procedures, including adhering to all criteria for testing, reviewing and analyzing evidence, and documenting processes and procedures for all NYC DCWP process servers
Must understand and have full knowledge of all NYC laws and NY state laws regarding the requirements for service of process and the record, filing, etc. requirements associated with such laws and requirements
Assist management in conducting any annual or other periodic risk assessments and the development of appropriate risk controls and compliance plans
Conducts research and documentation for current and emerging regulatory requirements
Prepares compliance and risk management communications for distribution to appropriate departments and personnel
Assist management with the review of local, state and federal regulations to ensure the company’s compliance
Assist/share knowledge with process servers related to NYC DCWP and New York law guidelines
Act as a liaison with all NYC DCWP licensed process servers
Perform log book and/or electronic log audits and assist servers with log book/electronic log corrections and proper amendments thereto
Perform GPS audits
Perform field sheet audits
Track, process and file all required reports for all Traverse Hearings for NYC DCWP servers
Perform electronic records (external and internal) audits and assist process servers with proper amendments
Preparation of all NYC DCWP process server’s service of process monthly audit reports
Preparation and filing of all NYC DCWP Disciplinary Actions and Non-Compliance Reports
Maintain complete records of all NYC DCWP filings, legal research, law changes, process server communications, client communications, and all other records required to be maintained in accordance with the NYC DCWP laws and requirements.
Act as liaison with independent service provider, NYC DCWP licensed process servers, and ProVest’s IT Department to assist and solve issues with job activation, job assignment, or access to system(s)
Routine monitoring of the NYC DCWP website for process server agency and process server notifications and updated law changes.
Perform process server liaison compliance duties to properly address and resolve NYC DCWP process server issues
Perform other related duties as required