Staff Compliance Auditor
The Staff Auditor is responsible for work on audit projects which contribute to the completion of the compliance audit plan, focused on customer experience and the adequacy and effectiveness of internal controls and overall compliance management system.
- Under the supervision of a project lead: Completes planning, fieldwork, and reporting activities which support the delivery of high-quality compliance audit project deliverables on-time/on-budget. Including:
- Preparing project status reports and following up on outstanding project deliverables.
- Collaborate with stakeholders and the project lead to develop recommendations and action plans.
- Conducting follow-up testing on corrective actions submitted to close opportunities for improvement. and validation of corrective action items.
- Participates in data analytics and risk assessment brainstorming.
- Continuous monitoring transaction research.
- Develops subject matter expert knowledge of the compliance requirements that the company is subject to.
- Engages with business partners to nurture strong relationships and understanding of business processes.
- Completes training to develop audit skills and works towards achieving or maintaining professional certifications.
- Travels on an “as-needed” basis to support the audit plan, special projects, and professional development. Up to 15%.
- Other duties as assigned.
- 4-year degree in Accounting, Finance, Business Management, or equivalent experience.
- 0-3 years related work experience in professional compliance or operational auditing at a financial services organization a plus.
- Proficient in Office 365 applications including Excel, and Word. SQL experience a plus.
- Ability to draw accurate conclusions from disparate pieces of information.
- Demonstrated ability to conduct independently learn business processes and apply knowledge to projects
- Excellent interpersonal, verbal, and written communication skills and the ability to interact with a diverse group of team members, including executives, managers, technology professionals, and subject matter experts.
- Professional, well organized, thorough, committed, urgent, and a resourceful problem solver
- Applicants who have a family member employed by Clayton (or other relationship presenting a conflict of interest) may not be considered.
Business Unit - B00015Shared Services