2 compliance auditor jobs found in Sioux Falls, SD

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...

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,...