Learn about the key requirements, duties, responsibilities, and skills that should be in a compliance auditor job description.
Lee-Shay Newton is an Editor and Copywriter at Betterteam. She has a background in journalism and specializes in HR and small business topics.
Compliance auditors evaluate companies and ensure that they are adhering to all state and federal regulations relevant to the industry, to the professional organizations' regulations or standards, and to the companies' internal guidelines. Compliance auditors work in a variety of industries, including accounting, insurance, finance, and IT.
Compliance Auditor Job Description Template
We are looking for a dedicated, detail-oriented compliance auditor to join our team. The responsibilities of the compliance auditor include protecting the company's assets, enforcing compliance with internal regulations, recommending improvements to our internal control structure, and ensuring compliance with legal and federal regulations.
To be successful as a compliance auditor, you should have excellent attention to detail, analytical, and multitasking skills. Ultimately, a top-notch compliance auditor should be completely objective and possess an in-depth working knowledge of the operations and practices within our industry.
Compliance Auditor Responsibilities:
- Managing the training, organization, scheduling, and task assignment for auditing staff.
- Developing compliance auditing plans based on thorough research on studies conducted by government agencies and professional organizations.
- Conducting, managing, and overseeing external and internal audits.
- Reviewing all relevant programs and activities affected by industry regulations, including records, reports, and software.
- Recommending and implementing changes to address procedures and practices that are not compliant with industry regulations.
- Analyzing potential risks within the company and its practices to avoid possible compliance issues.
- Tracking reported company violations and the responses and plans regarding these allegations.
- Analyzing existing compliance records and making all necessary updates.
- Compiling reports on the results of external and internal audits and presenting these reports to the relevant supervisors and department heads.
- Attending educational and professional development programs to improve your job knowledge and enhance the compliance department's reputation.
Compliance Auditor Requirements:
- Bachelor's degree in the relevant industry.
- Completion of relevant industry-specific certification, such as a certified internal auditor.
- A minimum of 5 years' auditing experience.
- An in-depth understanding of the industry's rules, guidelines, and regulations.
- Strong attention to detail, analytical, and statistical skills.
- Good computer skills and experience with relevant software programs.
- Strong communication and multitasking skills.
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