Compliance Audit Specialist - Phoenix Arizona

Company: VirtualVocations
Location: Phoenix, Arizona
Posted On: 01/20/2025

A company is looking for a Compliance Audit Specialist to conduct compliance audits as part of the compliance audit program.



Key Responsibilities

Conduct compliance audits with guidance from more experienced peers
Communicate with business unit personnel to understand processes and notify them of compliance deficiencies and improvements
Document testing completed and draft audit reports


Required Qualifications

3+ years of compliance experience
Bachelor's degree or equivalent work experience
FINRA fingerprinting required
Previous experience with investment adviser, broker-dealer, or investment company compliance policies is highly desired
Audit experience is a plus More...

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