Compliance Auditor Job Description


The compliance auditor ensures the organization adheres to any federal and state rules relevant to its business. They evaluate and impose compliances which include standards and regulations imposed by the financial organization or company’s internal guidelines. They should perform audits in various areas of accounting, IT, security, and finance. They work closely with the senior level management and administrative staff. They review the compliance course of action and method. They may act as a consultant and work with company’s compliance section, some duties they should perform regularly includes manage internal and external audit, review the reports, software and relevant activities affected by regulation, recognize risk and be proactive, analyze the potential risk within a specific department of the firm and eradicate compliance problems. They should strictly maintain compliance records reported against the company.

Compliance Auditor Job Titles:

  • Compliance Auditor
  • Senior Auditor
  • Internal Compliance Auditor
  • Regulatory Compliance Auditor

Compliance Auditor Job Summary:

We are a reputed financial organization located in the US and are interested in hiring experienced compliance auditors who have completed their degrees in finance, accounting, or management. The candidate should perform social compliance evaluation in various work-related sites across the country. They need to assess and report as per client audit protocols and it should be related to establishing a code of conduct. They need to document comprehensive reports in an accurate and detailed manner. The job duties include executing high-quality compliance assessment by implementing specific methods, audit training and scope, prepare download and read audit statements relating to the latest audits, produce and report audit findings, liaise audit results to facility management, check the efficacy of corrective actions taken as a part of the audit, coordinate and support the other auditors and staff.

Compliance Auditor Job Responsibilities and Duties:

  • Conduct compliance audit ensuring the adherence meets to internal control
  • Evaluate the process and maintain accuracy meeting internal standards
  • Plan and maintain the functional area of business and prepare the reports and templates
  • Maintain compliance data risk and identify the risk involved in it
  • Take part in training and development programs and conduct an audit for the same
  • Provide training to junior staff and take part in project development meetings
  • Continue providing knowledge on required regulations and plan training programs for compliance methods and inspect all the activities
  • Analyze the audit results, document audit plan, prepare the reports, and monitor all corrective actions

Compliance Auditor Skills and Qualification:

  • Bachelor degree in accounting, financial management, or relevant subject
  • Able to work individually and in a team
  • Must possess a minimum of 3 years of experience in the similar field
  • Attention to detail
  • Should have in-depth knowledge about operations and practices within the industry
  • Must know how to review training materials ensuring company’s knowledge and guideline
  • Must be organized and hardworking
  • Knowledge about compliance guidelines
  • must possess strong communication skill
  • Strong analytical and decision-making skills
  • Motivational skills

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