Compliance Auditor

General Purpose This role provides support for the internal Compliance Department by conducting professional operations reviews, audits, or investigations to determine compliance with Firm and client requirements. This includes preparing audit reports and supporting documents. Essential Functions Handling various client deliverables such as call reports, call recording requests, and remediation requests. Completing Firm and client required call audits while managing deadlines and delivery of audit reports. Supporting firm training process such as maintenance of Firm Supplement Training Log. Conducting audits on various subjects at scheduled intervals or as needed such as security, procedural, and risk. Communicating with clients, management, or other staff across the Firm relative to compliance functions. Supervisory Responsibilities This job does not have supervisory responsibilities. Benefits & Perks Include: Medical, Dental, & Vision Insurance HSA & FSA Accounts 401K, with 4% company contribution (after 1 year of service) Paid time off (17 days per year) Paid holidays off (7 days per year a floating holiday) Company Paid Life Insurance Employee Assistance Program Eligibility in Annual Discretionary Bonus Building amenities include: Free parking, onsite restaurant, & onsite free gym Hybrid Remote Schedule Potential (up to 2 days per week) after successfully completing 90 Days of Employment & Meeting Eligibility Criteria Compensation details: 18-18 Hourly Wage PId831d442e52e-25448-35724790