Audit and Compliance Manager

Service Specialists recruiting agency is seeking an Audit and Compliance Manager for an equity firm in Oxford. This posiiton is to ensure that an organization adheres to all applicable laws, regulations, and internal policies and procedures. You are responsible for establishing and maintaining effective audit and compliance programs to identify and mitigate any potential risks and non-compliance issues. The ideal candidate will possess strong analytical skills, exceptional attention to detail, and a thorough understanding of auditing principles. Additionally, you should be able to adapt to changing regulations and industry trends and demonstrate strong leadership and project management abilities. This position reports directly to the Chief Compliance Officer. Your job description may include the following responsibilities:

• Risk assessment and management: You will be responsible for managing a comprehensive framework to assess risks across the organization. This involves identifying potential areas of non-compliance and developing strategies to mitigate these risks by conducting risk assessments, identifying control gaps, and implementing appropriate controls.
• Conducting due diligence and audits: You will perform due diligence on prospective vendors and clients; and conduct onsite audits of vendors. You will also perform internal audits to evaluate the effectiveness of internal controls and processes; and assist with external audits of the Company. This process includes reviewing operational procedures and compliance with relevant regulations. You will identify any deficiencies and make recommendations for improvement.
• Ensuring regulatory compliance: You will stay current with laws, regulations, and industry standards that affect the organization. You will review and propose revisions to policies and procedures to ensure compliance and provide guidance to employees on regulatory requirements.
• Training and education: You will assist in developing and delivering training programs to educate employees about compliance standards, policies, and procedures. This will help foster a culture of compliance within the organization and ensure that employees are aware of their responsibilities.
• Monitoring and reporting: You will monitor systems to track compliance with regulations and internal policies. You will prepare regular reports for senior management and relevant stakeholders to communicate audit findings, compliance status, and recommendations for improvement.
• Investigating complaints and disputes: You will assist in investigating and remediating disputes and complaints received by consumers to determine the root cause and any necessary remedial actions. You will work with relevant stakeholders to implement corrective measures and prevent future occurrences.
• Collaborating with internal and external stakeholders: You will liaise with various departments within the organization, such as finance, legal, and operations, to ensure a coordinated approach to compliance. Additionally, you may interact with external auditors, regulatory bodies, and other stakeholders to address compliance-related matters.

Qualifications:

• Bachelor's degree in accounting, finance, juris doctor, or a related field. Professional certifications such as Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) are preferred.
• Proven experience in conducting audits, preferably in a public accounting firm, corporate internal audit department, or regulatory agency.
• Strong knowledge of auditing principles, practices, and methodologies, including risk assessment, control analysis, and testing techniques.
• Familiarity with financial accounting standards, regulations, and compliance requirements.
• Proficient in using auditing software, data analysis tools, and Microsoft Office applications (Excel, Word, PowerPoint).
• Strong ethics and integrity, with the ability to maintain confidentiality and objectivity throughout the auditing process.
• Ability to work independently and collaboratively in a team environment, demonstrating strong interpersonal skills and a commitment to professional development.

Job Type: Full-time

Salary: $65,000.00 - $90,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:

• Monday to Friday

Work Location: In person