Compliance Consultant - Hybrid position inConnecticut
This is an exempt/salaried position with a work schedule of Monday - Friday (40 hours /week), with travel and some weekends as needed. This is a hybrid position based in Connecticut.
SUMMARY:
The Compliance Consultant performs operational audits of CATIC independent agents in accordance with departmental audit programs and procedures to mitigate risks for the Company.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following:
• Schedule agent audits in accordance with company's risk model system, requests from management and on an as needed basis within assigned territory.
• Send out audit notifications to agents and prepare all necessary pre-audit materials.
• Examine any prior audit items, as applicable.
• Perform on-site agency reviews and complete all necessary audit steps, including escrow, file and policy reviews.
• Complete all required audit forms, including agency audit form, escrow evaluation, list of bank accounts, etc.
• Ensure all audit and risk issues are identified and properly addressed and noted in the spreadsheet/reports.
• Ensure all pertinent audit issues are fully disclosed to management in a consistent manner.
• Communicate audit issues to agents and recommend methods for improvement.
• Participate in educational programs and training.
• Maintain independence.
• Compliance and adherence at all times with the organization's Code of Ethics and Conduct as well as all of our company's policies.
• Other duties as assigned.
QUALIFICATION REQUIREMENTS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
• A Driver's license is required for this position
• Ability to organize and prioritize job tasks to meet deadlines. Possess flexibility to handle multiple assignments simultaneously. Ability to research and respond to inquiries promptly and accurately.
• Possess strong problem solving, analytical and communication skills.
• Demonstrate ability to work independently and make decisions.
• Must demonstrate ability to exercise confidentiality and discretion as well as comply with company policies and regulatory requirements as established.
• Must have strong PC skills, preferably on a Windows platform and Microsoft Office environment.
• Effective oral and written communication skills.
• Ability to travel as needed.
• Work well within a team environment. Interact well with all levels of associates within the company and at agencies.
• Must be able to carry up to 10 pounds of materials.
• Overtime and/or weekend work may be required while working in the office or traveling.
EDUCATION AND/OR EXPERIENCE:
• Completion of an undergraduate degree in Accounting or equivalent combination of industry education, training and experience that demonstrates the ability to perform the necessary job functions.
• Minimum of 3 years of experience in auditing is a plus.
• Auditing experience within the title industry is a plus.
EEO Statement
CATIC Financial, Inc. and its subsidiaries are committed to providing equal employment opportunities to all employees and applicants for employment and to maintaining a work environment that is free from discrimination without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, we comply with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.
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SUMMARY:
The Compliance Consultant performs operational audits of CATIC independent agents in accordance with departmental audit programs and procedures to mitigate risks for the Company.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following:
• Schedule agent audits in accordance with company's risk model system, requests from management and on an as needed basis within assigned territory.
• Send out audit notifications to agents and prepare all necessary pre-audit materials.
• Examine any prior audit items, as applicable.
• Perform on-site agency reviews and complete all necessary audit steps, including escrow, file and policy reviews.
• Complete all required audit forms, including agency audit form, escrow evaluation, list of bank accounts, etc.
• Ensure all audit and risk issues are identified and properly addressed and noted in the spreadsheet/reports.
• Ensure all pertinent audit issues are fully disclosed to management in a consistent manner.
• Communicate audit issues to agents and recommend methods for improvement.
• Participate in educational programs and training.
• Maintain independence.
• Compliance and adherence at all times with the organization's Code of Ethics and Conduct as well as all of our company's policies.
• Other duties as assigned.
QUALIFICATION REQUIREMENTS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
• A Driver's license is required for this position
• Ability to organize and prioritize job tasks to meet deadlines. Possess flexibility to handle multiple assignments simultaneously. Ability to research and respond to inquiries promptly and accurately.
• Possess strong problem solving, analytical and communication skills.
• Demonstrate ability to work independently and make decisions.
• Must demonstrate ability to exercise confidentiality and discretion as well as comply with company policies and regulatory requirements as established.
• Must have strong PC skills, preferably on a Windows platform and Microsoft Office environment.
• Effective oral and written communication skills.
• Ability to travel as needed.
• Work well within a team environment. Interact well with all levels of associates within the company and at agencies.
• Must be able to carry up to 10 pounds of materials.
• Overtime and/or weekend work may be required while working in the office or traveling.
EDUCATION AND/OR EXPERIENCE:
• Completion of an undergraduate degree in Accounting or equivalent combination of industry education, training and experience that demonstrates the ability to perform the necessary job functions.
• Minimum of 3 years of experience in auditing is a plus.
• Auditing experience within the title industry is a plus.
EEO Statement
CATIC Financial, Inc. and its subsidiaries are committed to providing equal employment opportunities to all employees and applicants for employment and to maintaining a work environment that is free from discrimination without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, we comply with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.
Apply Now
Apply Now