Corporate Compliance Auditor

Continental Service Group, Inc. • Fairport, NY • 4d ago

Position Summary: Responsible for performing formal root cause and trend analyses of exceptions escalated from ConServe's monitoring and all other consumer-facing business activities, including consumer complaints and issues escalated to Corporate Compliance from various input channels. Responsible for performing targeted audits (control evaluations) to assess the quality and effectiveness of an individual control, a group of controls, or an entire process. Responsible for our PPMS (Professional Practices Management System) audits as well as our FISMA (Federal Information Security Management Act) audits. The Corporate Compliance Auditor is responsible for performing independent investigation on consumer complaints and issues escalated to Corporate Compliance from various input channels. The Corporate Compliance Auditor will perform Compliance Monitoring activities as assigned that ensure consumer financial regulations, Client, and ConServe's requirements are met. Essential Duties & Responsibilities: Responsible for performing formal root cause and trend analyses of exceptions escalated from ConServe's monitoring and all other consumer-facing business activities, including consumer complaints and issues escalated to Corporate Compliance from various input channels.Responsible for performing targeted audits (control evaluations) to assess the quality and effectiveness of an individual control, a group of controls, or an entire process.Responsible for identifying and log remediation tickets for Control Evaluation audits, Quality Control Test results, as well as for other control weaknesses identified through Client Audits, Consumer Complaints, etc.Assist Management with drafting Entrance Meeting Compliance Memorandum, Scope Documents as well as final Audit Report for Control Evaluation Audits.Follow up to ensure remediation was completed and approve closure of the control evaluation.Led and conduct post-validation testing to ensure the corrections have been implemented.Audit PPMS (Professional Practices Management System) elements annually; covering all PPMS controls in accordance with our documented PPMS audit schedule and our Internal Audit Checklist.Audit FISMA (Federal Information Security Management Act) Security Controls annually. Some FISMA controls are audited more frequently and must be completed in accordance with our documented FISMA audit schedule.Assist Management with reviewing PPMS and FISMA audit reports.Assist Management with cross-training Corporate Compliance Auditors.Responsible for performing independent investigation on consumer complaints escalated to Corporate Compliance from Consumer Response Group including other concerns/issues identified or raised to Corporate Compliance through other input channels (i.e. Operations Management Call Monitoring).Monitoring ConServe's controls to ensure adherence with Account Management (AC-2) (i.e. EventLog Analyzer) and Media Use (MP-7) (i.e. Device Lock) FISMA audits.Assist Compliance Management with CSI (ConServe Service Improvement) oversight including logging new CSI's, as well as closing CSI's after corrective action has been implemented.Assist Compliance Management by independently investigating and acting on matters related to compliance, including flexibility to design and coordinate internal investigations and any resulting corrective actions with all debt collection and supporting departments, providers and sub-providers, agents and independent contractors.Develop as well as update PPMS Work Instructions to support the Compliance/Auditing Department.Work within and support the Enterprise Risk Management (ERM) structure.Adherence to ConServe's Professional Practices Management System (PPMS), Code of Conduct, and Compliance Program. Non-Essential Duties & Responsibilities: Other duties as assigned. Education Requirement: High School Diploma or GEDAssociates or Bac

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