Expansion Capital Group

JOB DESCRIPTION Summary/Objective This position is an entry‑level position, responsible for monitoring compliance with ECG policies, related procedures, training materials, and operational tracking reports. The Compliance Auditor will assist the Chief Compliance Officer and Compliance Manager in developing an Internal Audit Program, will share responsibility for implementation of the Internal Audit Program under the direction of the Compliance Manager, will share responsibility for the Vendor Risk Management Program under the direction of the Compliance Manager, and will perform such related tasks as may be determined to be in the interest of the company from time to time. Essential Functions Assist the Chief Compliance Officer, Compliance Manager and members of senior management in developing, updating, and maintaining compliant Procedures and compliant reference materials, such as marketing materials, social media posts, website materials, articles, portal materials ("Content")...

Compliance Auditor Reports to: Compliance Manager Classification: Full time, Hourly JOB DESCRIPTION Summary/Objective This position is an entry-level position, responsible for monitoring compliance with ECG policies, related procedures, training materials, and operational tracking reports. The Compliance Auditor will assist the Chief Compliance Officer and Compliance Manager in developing an Internal Audit Program, will share responsibility for implementation of the Internal Audit Program under the direction of the Compliance Manager, will share responsibility for the Vendor Risk Management Program under the direction of the Compliance Manager, and will perform such related tasks as may be determined to be in the interest of the company from time to time. Essential Functions Assist the Chief Compliance Officer, Compliance Manager and members of senior management in developing, updating, and maintaining compliant Procedures and compliant reference materials,...