Aston Carter

Job Title: Compliance Auditor Job Description The Compliance Auditor will play a crucial role in supporting compliance leadership by assisting in the creation and maintenance of compliant procedures and reference materials. This position requires auditing transaction closings, verifying licensing requirements, conducting internal audits, and performing risk assessments. The auditor will also manage vendor risk processes, recommend policy updates, oversee content, and support compliance training. Responsibilities Assist the Chief Compliance Officer and Compliance Manager in maintaining compliant procedures and reference materials. Review transaction closings to ensure compliance with procedures and state licensing requirements. Regularly verify licensing requirements for referral partners in California, South Dakota, and other applicable states. Help implement and perform audits under the Internal Audit Program. Assist in identifying compliance risks and tracking...