Compliance Audit Specialist
Company: VirtualVocations
Location: Phoenix
Posted on: January 21, 2025
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Job Description:
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
Keywords: VirtualVocations, Prescott , Compliance Audit Specialist, Accounting, Auditing , Phoenix, Arizona
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