Role Description

Scientific > Compliance Auditor

Salary National Average

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49410.0000 62030.0000 80670.0000

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Short Description:

A Compliance Auditor is responsible for evaluating an organization’s adherence to regulatory standards, internal policies, and industry best practices. Their duties include conducting audits, reviewing documentation, and analyzing processes to identify areas of non-compliance or risk. Compliance Auditors prepare detailed reports of their findings, recommend corrective actions, and work with various departments to implement improvements. Strong analytical skills, attention to detail, and knowledge of relevant regulations are essential for success in this role, as Compliance Auditors play a key role in ensuring the organization operates within legal and ethical boundaries.

Duties / Responsibilities:

  • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  • Identify compliance issues that require follow-up or investigation.
  • Discuss emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies, and practices.
  • File appropriate compliance reports with regulatory agencies.
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  • Consult with corporate attorneys as necessary to address difficult legal compliance issues.
  • Conduct or direct the internal investigation of compliance issues.
  • Provide employee training on compliance related topics, policies, or procedures.
  • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
  • Verify that all regulatory policies and procedures have been documented, implemented, and communicated.

Skills / Requirements / Qualifications

  • Education: Bachelor’s degree in finance, accounting, business administration, or a related field. Advanced degrees (e.g., Master’s) or certifications (e.g., CPA, CIA, CISA) are often preferred.
  • Experience in Auditing: 3-5 years of experience in compliance auditing, internal auditing, or a related field, with a solid understanding of audit methodologies and practices.
  • Knowledge of Regulations and Standards: Comprehensive understanding of relevant regulatory frameworks (e.g., HIPAA, SOX, FDA regulations) and industry standards that govern the organization’s operations.
  • Analytical Skills: Strong analytical and problem-solving abilities to assess compliance risks, identify issues, and develop actionable recommendations.
  • Attention to Detail: High level of attention to detail for reviewing documentation, identifying discrepancies, and ensuring thoroughness in audit processes.
  • Communication Skills: Excellent verbal and written communication skills to present findings, prepare reports, and interact with various stakeholders effectively.
  • Organizational Skills: Strong organizational and time management skills to manage multiple audit assignments and meet deadlines efficiently.
  • Proficiency in Audit Tools: Familiarity with audit software and data analysis tools to streamline the auditing process and enhance data integrity.

Job Zones

  • Title:  Job Zone Four: Considerable Preparation Needed
  • Education:  Most of these occupations require a four-year bachelor's degree, but some do not.
  • Related Experience:   Most of these occupations require a four-year bachelor's degree, but some do not.
  • Job Training:  Employees in these occupations usually need several years of work-related experience, on-the-job training, and/or vocational training.
  • Job Zone Examples:  Many of these occupations involve coordinating, supervising, managing, or training others. Examples include real estate brokers, sales managers, database administrators, graphic designers, chemists, art directors, and cost estimators.
  • SVP Range:  (7.0 to < 8.0)

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