Compliance Officer auditing and ensuring company compliance with laws and regulations. Supporting ethical practices and promoting compliance across organizations.
Responsibilities
Supports and /or performs audits to detect violations of laws and applicable regulations, as well as company policies and procedures
Investigates misconduct, promotes ethical practices and culture, and evaluates compliance issues / concerns within the organization
Ensures coordination with other departments aligning compliance activities
Performs and / or supports audits of compliance with laws and regulations, policies and procedures, contracts and other compliance obligations in accordance with the Compliance Program
Collaborates with other departments (e.g., Risk Management, Internal Audit, Shared Services, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution
Consults with Compliance team as needed to resolve difficult compliance issues
Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures
Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
Supports Compliance function activities related to monitoring and reporting on the performance of the Compliance Program and related activities on a continuing basis, taking appropriate steps to improve its effectiveness
Performs and/or supports special reviews/projects with guidance from the Compliance team, division operations counsel and management
Requirements
Bachelor's degree or equivalent combination of education and experience
Compliance, ethics, fraud, or internal audit related certification strongly preferred
A minimum of 3-5 years of compliance, audit and / or related experience
Knowledge and some expertise in financial services industry, preferably in insurance, banking, or real estate mortgage services is a plus
Strong analytical and creative problem-solving skills
Ability to manage multiple tasks, projects, and competing priorities simultaneously
Must consistently demonstrate reliability and a strong work ethic
Basic knowledge of audit process
Proficient in Microsoft Word, Excel, and PowerPoint
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