Futurex
Financial Services
AuditResponseSpecialist
Neural analysis suggests this role is
optimal for Mid candidates.
“Audit Response Specialist at Futurex. Skills: Compliance, Risk Management, Regulatory Requirements, Customer Compliance. Ensuring that the organization adheres to all relevant regulatory requirements and internal policies when dealing with customers. Answering vendor inquiries regarding customer compliance”
Industry & Context.
Excellent analytical and problem-solving skills
May involve handling sensitive and confidential information, Occasional travel may be required
What They're Looking For.
Must Have
Bachelor’s degree in Law, Business Administration, Finance, or a related field, 3-5 years of experience in compliance, risk management, or a similar role, knowledge of regulatory requirements and compliance standards, Excellent analytical and problem-solving skills, Effective communication and interpersonal skills, Attention to detail and ability to handle confidential information
Nice to Have
Certification in compliance (e. g. , Certified Compliance & Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM)) is a plus, preferably within the financial services industry
What You'll Do.
Ensuring that the organization adheres to all relevant regulatory requirements and internal policies when dealing with customers
Answering vendor inquiries regarding customer compliance
Conducting compliance reviews
Providing support to ensure that all customer interactions and transactions meet legal and regulatory standards
Review and verify customer documentation to ensure compliance with regulatory standards
Conduct regular compliance audits of customer interactions and transactions
Ensure customer data and activities comply with internal policies and external regulations
Answer inquiries from vendors regarding customer compliance and due diligence
Provide necessary documentation and information to vendors to facilitate compliance
Act as a liaison between the organization and vendors to address compliance-related questions and issues
Identify potential compliance risks associated with customer transactions and relationships
Develop and implement risk mitigation strategies
Monitor customer activities for any suspicious or non-compliant behavior
Stay updated with changes in regulatory requirements affecting customer compliance
Ensure the organization’s compliance practices align with current laws and regulations
Assist in preparing for regulatory audits and inspections
Maintain detailed and accurate records of all compliance activities and findings
Prepare compliance reports for senior management and regulatory bodies
Document and report any compliance violations or issues
How You'll Work.
Communication Scope
Effective communication skills
Full Job Description
The Audit Response Specialist is responsible for ensuring that the organization adheres to all relevant regulatory requirements and internal policies when dealing with customers. This role involves answering vendor inquiries regarding customer compliance, conducting compliance reviews, and providing support to ensure that all customer interactions and transactions meet legal and regulatory standards. **Key Responsibilities:** 1. **Compliance Verification and Review:** * Review and verify customer documentation to ensure compliance with regulatory standards. * Conduct regular compliance audits of customer interactions and transactions. * Ensure customer data and activities comply with internal policies and external regulations. **Vendor Interaction and Support:** * Answer inquiries from vendors regarding customer compliance and due diligence. * Provide necessary documentation and information to vendors to facilitate compliance. * Act as a liaison between the organization and vendors to address compliance-related questions and issues. **Risk Assessment and Management:** * Identify potential compliance risks associated with customer transactions and relationships. * Develop and implement risk mitigation strategies. * Monitor customer activities for any suspicious or non-compliant behavior. **Regulatory Adherence:** * Stay updated with changes in regulatory requirements affecting customer compliance. * Ensure the organization’s compliance practices align with current laws and regulations. * Assist in preparing for regulatory audits and inspections. **Reporting and Documentation:** * Maintain detailed and accurate records of all compliance activities and findings. * Prepare compliance reports for senior management and regulatory bodies. * Document and report any compliance violations or issues. **Requirements** * Bachelor’s degree in Law, Business Administration, Finance, or a related field. * 3-5 years of experience in compliance, risk management, or a similar role, pre
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