Compliance Specialist,

Compliance Specialist

We are looking for a Compliance Specialist to join our team! The successful applicant will be responsible for ensuring daily operations are conducted in compliance with all federal and state laws and regulations, agency and investor requirements, and company policies and procedures. We encourage all who are qualified and want to work with a dynamic and highly productive team to apply.

  • Assist in the implementation of new policies and procedures, including training staff as directed by the Compliance Supervisor
  • Prepare internal file audits in accordance with company‚Äôs quality control plan and agency guidelines
  • Coordinate with Compliance Supervisor regarding Audit/QC findings and assist in the implementation of changes when necessary
  • Perform compliance reviews on new and existing vendors
  • Assist in all licensing functions required for the company, new hires and existing employees as required by the SAFE Act
  • Monitor new and proposed laws, regulations and guidelines, and communicate changes to supervisor when appropriate

  • Undergraduate degree in finance, accounting, economics, or business is preferred
  • Excellent analytical skills and the ability to conduct thorough research and to interpret and understand laws and regulations
  • Ability to simultaneously handle multiple tasks and changing priorities in an efficient and effective manner
  • Strong interpersonal and communication skills (oral, written, and presentation)
  • Provide workable recommendations and solutions to problems
  • Well organized, detail oriented, and able to work independently is proud to be an equal opportunity employer

Questions about our hiring process?

Contact one of our HR specialists with any of your employment/hiring questions. Email