Compliance Officer/Compliance Auditing

• 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

• 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

Knowledge and some expertise in financial services industry, preferably in insurance, banking, or real estate mortgage services is a plus

• medical
• dental
• vision
• 401k
• PTO/paid sick leave
• employee stock purchase plan