Audit Compliance Job Description

Audit Compliance Job Description

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Audit compliance provides assistance and performs various duties specifically related to the internal audit process, internal audit quality assurance, or SOX processes.

Audit Compliance Duties & Responsibilities

To write an effective audit compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included audit compliance job description templates that you can modify and use.

Sample responsibilities for this position include:

Supporting management in identifying resolutions for control issues identified
Managing audit teams on a day-to-day basis and working to ensure that audits progress as planned, as regards scope, budget and timetable
Building relationships with auditees and business management on each audit and developing ongoing relationships with key stakeholders in aligned business area
Driving the audit coverage for the aforementioned areas
Leading and participating in audit assignments with a strong focus on controls and compliance
Supporting on audit related matters with businesses, regulators and external auditors
Conducting audit risk assessments and periodic reporting requirements
Developing a forward-looking view of governance, compliance and operational risks
Driving the audit coverage
Collaborating on audits across the broader Risk & HR Audit team

Audit Compliance Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Audit Compliance

List any licenses or certifications required by the position: CISA, CRCM, CIA, ASQ, CISSP, URAC, PCI, FEMA, CAMS, AHIMA

Education for Audit Compliance

Typically a job would require a certain level of education.

Employers hiring for the audit compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Accounting, Finance, Business, Education, Business/Administration, Management, Information Technology, Auditing, Healthcare, Engineering

Skills for Audit Compliance

Desired skills for audit compliance include:

SOX
PCI DSS
SSAE16
Audit processes and auditing skills
Quality tools and processes
Access
Accounting principles and SOX experience
Monarch
PowerPoint and billing services beneficial
Missile Defense Agency’s Mission Assurance Provisions

Desired experience for audit compliance includes:

Internal consultant relationship with all IAS groups including AML Relationship Manager
Business and functional unit management and compliance officers
Corporate Compliance, BU and Group Compliance Officers, Audit Executive, Auditors, Audit leaders and Audit Managers in other IAS groups & BU Heads
Some contact with External Auditors & Regulators
A strong, comprehensive understanding of key regulations and current regulatory developments relevant to AM (FINRA, SEC, OCC, FRB, AML ) and key Compliance priorities (including oversight of Anti-Money Laundering, OFAC, Fiduciary Responsibilities, Conflicts Controls)
Developing and maintaining relationships with senior management

Audit Compliance Examples

1

Audit Compliance Job Description

Job Description Example
Our innovative and growing company is looking for an audit compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for audit compliance
  • Assisting with proposals for new business opportunities in the areas of outsourced internal audit, regulatory compliance and consulting services (ACH, BSA, SAFE, UIGEA, FACT, ) training, and related special projects
  • Complete investigations of agents that may be involved in the submission of fraudulent new business applications
  • Plan, perform, and lead Compliance audits at the enterprise level other diverse lines of business and specialty areas
  • Develops and executes audit programs for the purpose of auditing and assessing controls for IT assets, systems and/or processes related to the FEP Program, including developing criteria, reviewing and analyzing evidence
  • Evaluates the adequacy, effectiveness and efficiency of specified Software Development Life Cycle (SDLC) processes and procedures and IT controls
  • Serves as a consultant to management on risk mitigation factors in all FEP related technology areas and serves as a key interface on technology risk related issues
  • Drive the development and execution of the annual audit plan including evaluation of risk, scope of testing and required resources
  • Take a lead role in the development of value-added services
  • Assist in the preparation of audit reports for review by senior management
  • Assist in external audits and examinations by regulatory bodies, conduit banks and securitization parties
Qualifications for audit compliance
  • CPA, CIA, CISA or any other relevant certifications
  • Fluency in French, Spanish, Portuguese, German, Italian, Japanese, Korean, or Chinese
  • Potentially you may be a compliance professional (assurance, testing etc) considering a move into the third line of defence, or possibly working in a regulatory consulting position with banking clients looking to move to an in-house role
  • Have a strong understanding of legal and compliance concerns within a banking or more general financial services environment
  • IT experience in Governance, Risk and Compliance (GRC) domain with strong focus
  • Certifications such as CISSP, CISA, CISM, ISO 27001 Lead auditor, CEH, preferred
2

Audit Compliance Job Description

Job Description Example
Our company is looking to fill the role of audit compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for audit compliance
  • Follow-up with delinquent assessments
  • Compile quarterly results
  • Send Results to Divisional Management
  • Build Slide for Management Reporting and Audit Committee deck
  • Internal Audit Group
  • Work-paper Administration
  • Backup and store electronic files after 2 years
  • Scan all hard copy documentation needed for filing
  • Follow up with Lead Auditors for missing documentation
  • Manage process flow for audits
Qualifications for audit compliance
  • Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) or Certified Regulatory Compliance Manager (CRCM)
  • A solid understanding of Holding Company /Bank regulations
  • Ability to meet or exceed client expectations
  • Good knowledge on industry standards
  • Demonstrated ability to develop and maintain business relationships, the ability to create strategies that support initiatives and translate these into action plans
  • Understanding of Operational Excellence and ability to incorporate into job responsibilities
3

Audit Compliance Job Description

Job Description Example
Our company is looking to fill the role of audit compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for audit compliance
  • Assist in the coordination of the Company's SOX compliance efforts by partnering with business and IT process owners within shared services and the Brands, Corporate Audit Services and external auditors, including execution of the project plan, reporting, training and communication
  • Partner with shared services and brand controllership teams and process owners to develop, enhance or recommend changes to SOX control design related to new products or changes to processes and systems
  • Educate, consult, evaluate and advise business partners on internal SOX controls and risk mitigation in an ever-changing environment
  • Participate on project teams to ensure that enterprise risks and SOX controls are appropriately considered, identified early and managed proactively in the project development lifecycle
  • Collaborate with SOX process owners to determine control deficiency impact and resolution
  • Manage the execution of the Company’s quarterly and annual SOX certification process
  • Assist in the management of the SOX administration software, including set-up and training of new users and any associated troubleshooting
  • Create and maintain SOX design and testing status and reporting
  • Build and maintain an understanding of the Company's internal control framework and processes to identify risks that could impact not only the Company's SOX compliance, the Company's overall internal control framework
  • As it relates to specific SOX controls, collaborate with process owners and to the extent necessary the external auditors, assist in the evaluation of the SOC I and II reports including the user control considerations specified for impact on the overall control environment
Qualifications for audit compliance
  • A working knowledge of applicable laws, regulations, financial services and ability to learn the regulatory changes and communicate them appropriately
  • This position may have exposure to regulatory agencies if needed
  • Strength in organizing and rationalizing large amounts of information including impeccable accuracy and attention to detail including consistency of all product
  • Proficient computer skills including but not limited to Microsoft Office applications and Archer eGRC
  • Certifications are preferred and may be required upon hiring for the Regulators
  • BA/BS degree in Accounting, Finance, or related field, an advanced degree preferred
4

Audit Compliance Job Description

Job Description Example
Our company is searching for experienced candidates for the position of audit compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for audit compliance
  • Participates in the preparation of policies, procedures, standards and checklists
  • Interfaces with vendors regarding audit issues
  • Creates and distributes audit reports to management based on executed internal technology audits
  • Creates and prepares audit working papers
  • Organizes and executes internal technology audits based on same working papers
  • Investigates external audit findings, and prepares management responses to same
  • Performs root cause analysis and develops checklists
  • Maintains audit databases
  • Develops technical documentation and manuals
  • Installs and maintains audit software
Qualifications for audit compliance
  • CAMS is highly preferred
  • Prior audit experience in a medium to large public accounting firm (Big 4), large national or global bank or equivalent
  • Desire to work on frontier regulatory initiatives
  • Self-directed – ability to work independently with groups / on a team
  • A College degree in Engineering, Sciences, or Healthcare
  • Demonstrated understanding and applying Quality System Regulation
5

Audit Compliance Job Description

Job Description Example
Our innovative and growing company is hiring for an audit compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for audit compliance
  • Management of all routine audits, all compliance related filings required on a monthly, quarterly and annual basis
  • Build strong relationships with shared service and brand business partners, leadership, controllership teams, and process owners
  • Assist in the report development of the annual assessment of internal control over financial reporting
  • Research technical guidance on specific control issues
  • Support internal audit staff during the design assessment and test of operating effectiveness
  • Manage and supervise more junior staff, providing active coaching, feedback, guidance, and development points
  • Drive adoption of the change, including identification and management of key parties and development of metrics to measure change sustainability
  • Assess the progress and effectiveness of the change team strategy and process
  • Advise on execution strategy for communications priorities
  • Maintain log of all servicing changes
Qualifications for audit compliance
  • 4 years of experience in Information Technology OR at least 2-year general experience within an Information Security or Technology Risk Management discipline
  • 6+ years in Quality Assurance with some management experience preferred and three more years in another function in the pharmaceutical, medical device/nutritional or related industry
  • Bachelor’s Degree and at least 3 years experience in the audit function (such as audit, quality or compliance) OR a High School Diploma / GED and at least 6 years experience in the audit function (such as audit, quality or compliance)
  • At least 3 years experience contributing to an annual audit plan, participating in audits, and reviewing the adequacy of business unit operational performance/compliance monitoring metrics
  • At least 3 years experience developing metrics, analyzing data, and converting it into information which can be used to identify potential risk areas, trends, corrective action plans and drive improvement and efficiency
  • Experience working across a matrix organization, with more than one level of management interface and competing priorities

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