Compliance Specialist - Operations Support Details

Compliance Specialist - Operations Support

JMB Realty - Minneapolis, MN

Employment Type : Full-Time

Why Auto Approve?

Auto Approve is a fast-growing, multi-million-dollar fintech organization. We help our customers save money on their monthly car loans, allowing them to unburden themselves from existing loans and reclaim control of their finances. Auto Approve utilizes cutting edge technologies to develop a flawless lending process allowing our team to focus on customer service and sales. With the help of our private equity backers, we are revolutionizing the refinance industry.

What we can offer you:

You will have the opportunity to work as part of a growing team in a fun, casual and challenging environment. This is a fast pace organization – each of our team members play an integral part in day to day operations. As we grow, there will be multiple opportunities for advancement. We love to see our team members thrive!

Auto Approve is seeking an experienced Compliance Specialist to assist the Sr. Compliance Manager with SOC 2 testing preparations, policy and procedure documentation, development and performance of internal and external audits and the support of licensing and other operational compliance tasks. The successful candidate will have experience with the operations side of SOC testing preparations, performing process and vendor audits, analyzing audit results and providing accurate and concise documentation of all findings and recommendations. The Compliance Specialist will be responsible for data analysis and documentation as well as various compliance administration duties.

Responsibilities Include:

• Assist with the analysis of risks and internal controls and the documentation of same in preparation for the SOC 2 examination
• Document key processes and internal control points and assist in identifying any gaps or opportunities for improvement
• Assist in the creation and amendment of policies and procedure documents to ensure compliance with legal and regulatory requirements
• Perform audits of internal and external processes including, but not limited to, telephone communications with consumers, preparation and execution of loan documents and vendor performance
• Participate in data analysis and testing
• Accurately and effectively document and communicate audit results
• Provide proactive, clear and actionable recommendations and alternatives to Management and Director of Compliance
• Maintain strong collaborative relationships with lending partners and vendors
• Perform special projects as assigned.

Skills and Qualifications:

• Excellent attention to detail with strong organizational skills
• Strong written and verbal communication skills

• Expert level understanding of the auto finance industry
• Demonstrated skills in the areas of critical thinking, problem analysis and problem solving
• Proficiency in Microsoft Excel, Access, Word and/or experience in using other database applications
• Ability to work independently

Competencies

• Ethical conduct
• Ability to work independently and manage workload
• Excellent organizational skills
• Attention to detail
• Excellent written and oral communication skills

Position Type/Expected Hours of Work

This is a full-time position. Days and hours of work are variable and based on business need. Evening and weekend work may be required as job duties demand. Travel up to 10% annually

Education and Experience

• Minimum 2 years in office environment with proficiency in Microsoft Office Suite software
• Minimum 2 years’ experience with general accounting
• Three to five years experience in an applicable risk management, quality assurance or compliance environment; experience with SOC 2 preferred
• Associates Degree preferred or related experience
• Compliance related training and experience a plus
• Intermediate to advanced Excel skills (vlookup, pivot tables, graphs)

Physical Requirements

This position is indoors. Must be able to sit at a computer terminal for an extended period of time. May be asked to lift approximately 25 lbs. Exposure to moderate noise and light, i.e business office with computers, phone, printers, light foot traffic.

Benefits:

• Competitive compensation package
• Full suite of medical benefits, including dental, vision, pet insurance and more!
• PTO and holidays

Auto Approve is an auto refinance company specializing in helping consumers find the best possible vehicle interest rate empowering the consumer and saving them money every month for the life of the new loan. Auto Approve has relationships with a national network of financial institutions and can provide preferred access to help consumers with lower interest rate auto loans. Visit AutoApprove.com for details.

Auto Approve Provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws. 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.

Applicants must be legally authorized to work in the United States