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Compliance/Audit Specialist

Luogo: Farmington, Connecticut
Stipendio: Negotiable
Postato: giorni 25 fa
Tipologia di contratto: Permanent
Industria: Compliance & Financial Crime
Nome del contatto: Abigail Sawyer
Contatto email: Abigail.Sawyer@ojassociates.com

Compliance/Audit Specialist

The Compliance/Audit Specialist will be a part of the Compliance team, providing assurance in relation to regulatory compliance across the group, and providing operational support to the wider compliance function as necessary.

Key responsibilities of the Compliance/Audit Specialist are:

  • Prepare compliance monitoring reports for senior management to specified standards, including format, style and timeliness, with the need for minimal changes. Your reports will include root cause analysis, be pragmatic and make value adding recommendations.Contribute to the on-going development of the risk based compliance monitoring approach and framework.
  • Provide excellent customer service to key stakeholders to encourage staff to go to the Compliance function for support to help ensure they carry out their roles in a compliant fashion.
  • Scope, plan and undertake risk based compliance monitoring, and assurance reviews across the group to provide assurance that the requirements of external legislation and regulations, company best practice, and other compliance procedures are adhered to.
  • Manage relationships with other parts of the business.
  • Work closely with colleagues in Compliance, and other assurance functions to ensure efficiency, knowledge sharing, and identify areas of concern.
  • Provide operational support to the Compliance function as required.
  • Assist in the development and delivery of the annual compliance monitoring plan.