Compliance Auditor

NCB Management Services, Inc.

Job Description – Compliance Auditor Position: The Compliance Auditor (Auditor) will report to NCB’s Chief Compliance Officer and will support Compliance in the development of a best-in-class vendor audit function. This will include the identification of risks related to outsourcing of activities and the monitoring, testing, and reviewing of operational, financial, IT and compliance internal controls to mitigate and manage risk. The Auditor is responsible for the timely execution of risk-based audits in accordance with NCB’s audit plans, as well as assisting with other audit matters and projects (both internal and external), as determined by Management. Key Responsibilities (other duties may be assigned): Conducts Remote and Onsite Audits of External Vendors which include: Ensuring timely completion of examinations and audits to ensure achievement of the NCB Audit Plan. Performing and completing examinations and testing of controls that support procedures and processes. Evaluating compliance with contractual agreements and company policies, which were developed to address applicable laws and regulations. Communicating verbally and in writing, the results of audit activities and the associated issues to NCB and vendor management to include recommendations and time frames for remediation. Working with vendors to validate remediation of audit issues. Tracking results of audit activities and issue remediation Assists in the development or tailoring of audit testing programs to meet specific business needs. Performs other projects or special assignments as required, including assisting in internal audits. Provides expertise to projects outside of direct span of control. Assists and provides guidance to management and client services regarding vendor management and internal compliance. Professional Experience/Qualifications: Bachelor s degree in Business, Accounting, or Technology field. 3-5 years of audit, compliance, or risk management experience. Strong knowledge and use of Microsoft Word and Excel. Excellent verbal and written communication skills. Must have effective organizational, communication, time-management and interpersonal skills and high attention to detail. Must be able to identify key risks and evaluate the design and operating effectiveness of processes and controls. Must be able to handle multiple projects and tasks simultaneously while meeting deadlines. Must be able to collaborate with co-workers, identify, address, and build solid relationships. Deliver clear requests for information. Demonstrate flexibility in prioritizing and completing tasks, and communicating potential conflicts to management. Knowledge of regulations, e. g. CFPB, FDCPA, PCI, GLBA, preferred. Professional designations a plus (CIA, CISA, CFSA, CPA) Ability to travel 15-20% domestically



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