Compliance Officer

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SAMPLE JOB DESCRIPTION

POSITION SUMMARY:
Our compliance officer assists in conducting operational compliance examinations. S/He collects audit evidence during external audits, as well as during ongoing compliance reviews. This position must function as an independent and objective body that reviews and evaluates compliance issues and concerns within the organization. Our compliance officer ensures that both management and employees comply with the rules and regulations of title agencies, that company policies and procedures are followed, and that behavior in the organization meets the company’s expectations. 

JOB TITLES:    

  • IT Compliance Officer 

  • Operations Compliance Officer    

 

ESSENTIAL FUNCTIONS:

  • Conducts assigned operation compliance examinations in accordance with departmental compliance programs and procedures

  • Assists with all aspects of assigned audits to ensure flexibility and responsiveness, as well as the achievement of both corporate and departmental objectives

  • Collects, reviews, and archives work papers to ascertain that all audit testing is complete and accurate and that all follow-up items are satisfactorily performed

  • Assists both management and customers in the effective use of recommended internal controls

  • Promotes cross-functional and customer-focused teamwork 

  • Facilitates communication and cooperation at all times

  • Maintains strong relationships with team members by adapting strategy to changing conditions 

  • Provides reports as assigned by supervisor 

  • Performs other duties as assigned by supervisor

  • Adheres to company policies and guidelines

 

EXPERIENCE:
Five (5) to seven (7) years of relevant experience is required.
   
EDUCATION:
A high school diploma is required.  Bachelor’s degree preferred.

 

CERTIFICATIONS, LICENSES, INSURANCE:
No certifications, licenses, or insurance are required.
   
KNOWLEDGE:

  • Possesses an understanding of CObIT, SOX, and other foundational best practices and compliance guidelines. 

  • Comprehends infrastructure maintenance and software development principles (e.g., back ups, monitoring, physical security, WAN, data/application security, and SDLCs)

    
SKILLS:

  • Adaptable: adapts to new, different, or changing requirements

  • Attentive to details

  • Business fundamentals: recognizes the importance of maintaining privacy and confidentiality of company information, as well as that of customers and co-workers, and complies with intellectual property laws

  • Critical thinking: uses logical thought processes to analyze and draw conclusions

  • Customer focused: is pleasant, courteous, and professional when dealing with internal and external customers or clients

  • Dependable and reliable: displays responsible behaviors at work

  • Initiative: demonstrates a willingness to work and seeks out new work challenges

  • Integrity: treats others with honesty, fairness and respect

  • Planning and organizing: plans and prioritizes work to manage time effectively and accomplish assigned tasks

  • Problem solver: applies critical thinking skills to solve problems by generating, evaluating, and implementing solutions

  • Professional: maintains a professional demeanor at work

  • Proficient in English 

  • Reading: understands written sentences and paragraphs in work-related documents; applies what is learned from written material to work situations

  • Respectful: works effectively with those who have diverse backgrounds

  • Team player: demonstrates the ability to work effectively with others

  • Technology: uses information technology and related applications to convey and retrieve information; demonstrates strong computer/typing skills in Microsoft Office, email programs, and internet browsers

  • Verbal communication: maintains open lines of communication with others 

  • Writing: uses standard English to clearly communicate thoughts, ideas, and information in written form

    
ESSENTIAL JOB FUNCTIONS: (including physical requirements)    
This position requires repetitive use of a keyboard, bending, sitting, squatting, and simple grasping.

NOTE:  This job description is not intended to be an exhausted list of duties, responsibilities, or qualifications associated with the job

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