Compliance Auditor

Job Description

Job Description

JOB DESCRIPTION

Summary / Objective

This position is an entry-level position, responsible for monitoring compliance with ECG policies, related procedures, training materials, and operational tracking reports. The Compliance Auditor will assist the Chief Compliance Officer and Compliance Manager in developing an Internal Audit Program, will share responsibility for implementation of the Internal Audit Program under the direction of the Compliance Manager, will share responsibility for the Vendor Risk Management Program under the direction of the Compliance Manager, and will perform such related tasks as may be determined to be in the interest of the company from time to time.

Essential Functions

• Assist the Chief Compliance Officer, Compliance Manager and members of senior management in developing, updating, and maintaining compliant Procedures and compliant reference materials, such as, marketing materials, social media posts, website materials, articles, portal materials (“Content”) for all aspects of business operations.
• Audit various transaction closings to ensure compliance with applicable procedures, including compliance with various state licensing requirements, under the direction of the Compliance Manager.

Confirm California and South Dakota, and other states as applicable, licensing requirements of all referral partners on a revolving basis, but not less than once every six months, as well as transactional documents to ensure compliance.

Required Education and Experience

Supervisory Responsibilities

This position does not have any supervisory responsibility.

Work Environment

The job requires being on-site and operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines.

Physical Demands

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.

This is largely a sedentary role; however, minimal mobility is required.

Position Type / Expected Hours of Work

This is a full-time position, and hours of work and days are Monday through Friday, 8 : 00 a.m. to 5 : 00 p.m. Occasional evening and weekend work may be available as job duties demand.

Other Duties

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.

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