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0-5 years of experience
Responsible for auditing all documentation across the organization to ensure compliance with state and federal regulations and company policies. Maintain general ledger accounts. Perform month/quarter/year-end closing entries.
- Instituted revised procedures and reporting documentation that resulted in reducing Cage Department errors, compliance issues and account variances by approximately 50% within a six-month period
- Developed procedures and worked with team members producing a 20 minute turnaround on account variance research and reducing archived box requests from 10+ per month to 2-4 per month greatly reducing the burden on staff responsible for box retrieval
- Evaluated procedures and made determinations with regard to process improvement
- Audited inventory control activities daily
- Performed data mining and analysis
0-5 years of experience
Participated in medical auditing for payers in the field of Durable Medical Equipment, Home Health, Skilled Nursing Facilities, and Hospice. Trained and mentored the team in performing at optimal levels.
- Completed audits that recovered over $3 million in overcharges for clients.
- Consulted with providers in institutional settings while reviewing revenue cycle processes, completing analysis, examining electronic data flows, overseeing project management, and targeting specific areas that needed improvement.
- Played a key role in developing analytics for data mining, fraud, and abuse in auditing.
0-5 years of experience
Initiated the collection of taxpayer funds from Motor License Agents by collecting checks, supervising new protocols regarding the collection of funds, and utilizing 37 demand letters.
- Corrected multiple Oklahoma Tax Commission accounting errors regarding Motor License Agents’ reserve fund by paying close attention to detail. Errors are at historic levels due to employee turnover.
- During the course of audits, ensured taxpayer funds are accounted for and deposited correctly.
- Accurately performed on site inventory during biannual audits and during change out of Motor License Agents thereby improving efficiency and discouraging misappropriation of funds.
- Completed essential checks during a computer system change over. Analyzed the intricacies of the new system to improve organizational management and increase productivity.
0-5 years of experience
Approved over $63 million quarterly in finished product with a team using SAP inventory software
- Audited/inspected operation processes and performed process incidents and supplier investigations
- Improved manufacturing process flow and finance losses with error tracking system in Excel and Access and logbook documentation
- Established data integrity for FDA compliance by coordinating an internal documentation review for top selling products
0-5 years of experience
Perform audits of facilities and in-house processes to ensure compliance with company policies and FAA requirements.
- Participate in and serve as a liaison during audits facility conducted by regulatory authorities, customers and other organizations
- Disseminate findings to responsible department, and coordinates audit corrective action responses.
- Perform verification inspection to insure audit finding corrective actions were implemented and would eliminate repeat findings
- Collect audit and Aircraft delivery performance results, analyzed for trends and adjusted quality audit program to address areas of concern.
0-5 years of experience
- Actively assisted with preparation for audits by documenting and evaluating audit scope and objectives, developing timetables and schedules, and preparing or adapting audit programs.
- Proactively conducted audit walkthroughs and detailed evidential control test and completed audit work papers and memoranda by documenting audit tests and findings.
- Effectively supported external auditors by coordinating information requirements and participating on selected audits led by the external auditor.
- Presented issues with balanced conclusions and recommendations that demonstrate a depth of business knowledge, to a high quality standard while meeting required reporting deadlines.
0-5 years of experience
Prepared audit reports including auditor opinion, basic financial statements, required supplementary information, and notes to the financial statements.
- Compiled financial statements for clients to ensure entities were in compliance with General Accepted Accounting Principles and Governmental Accounting Standards.
- Performed financial audits of governmental agencies including cities, school districts, and transportation agencies.
- Conducted risk assessments to develop test of internal control process and procedures to evaluate the effectiveness of the identified controls.
0-5 years of experience
Managed audits from start to finish, determining the scope of engagement, and identifying and meeting with appropriate contacts to ensure that audits are completed within the planned timeframe and budget.
- Applied appropriate audit approach based on industry type in accordance with KPMG standards.
- Set the budget for the engagement.
- Made management recommendations for improvement of deficiencies in internal controls.
- Delivered audit report and supporting documentation.
- Designed and performed substantive tests to determine the reasonableness of financial statements.
- Completed and implemented Global Working Papers in accordance with KPMG Audit Methodology
0-5 years of experience
Took part in control and substantive testing of disbursements, receipts, payroll, & compensated absences, along with search for unrecorded for accounts payable & receivable.
- Tied financial & budgetary statements to supporting documents, verifying client numbers.
- Created & analyzed preliminary & final analytics for clients, tying prior year numbers to current years, while making sure there were no material differences.
- Writing management and verbal comments for clients on an as needed basis.
- Interviewed employees that were involved in theft and fraud, gathering valuable information.
- Recalculated clients petty cash funds making sure funds were accurate.
- Footed & cross footed comprehensive annual financial reports while analyzing client’s MD&A’s.
0-5 years of experience
Financial audits of non-profits, governmental, and yellow book audits, with specializations in charter schools, metro districts, radio stations, non-profit entities, counties, cities and towns. Independently planned audits, managing a list of clients provided by the firms Partner. Utilizing Smart Practice Aids and Engagement CS I was solely responsible for the planning of the audits, including documenting the understanding of the entity, internal controls, risk assessments and planning materiality. Conducted the financial audits of the balance sheet and profit and loss statements. Prepared the bank, debt and legal confirmations. Imported client trial balance into Engagement CS to create analytical reviews, prepare lead sheets and tie out supporting documentation. Completed all planning and fieldwork audit programs through the use of smart practice aids. Prepared client financial documents and draft of the audit for partner review. I am responsible for the entirety of the audit from start to finish with no supervision.
- Prepared government and non-profit financials including balance sheet, profit and loss and cash flow statements.
- Tested client prepared balance sheet reconciliations for accuracy, providing client journal entries where necessary.
- Gained an understanding of revenues and expenses and created analytical tests and research to develop reasonable assurance.
- Identified, documented and tested internal controls of accounting systems and procedures.
- Tested client accruals, prepared any unrecorded accruals and prepared client journal entries.
- Prepared and tested client depreciation and amortization schedules for fixed assets and long-term debt.
6-10 years of experience
Performed complex audits of federal funds, including Title I, Special Education and IT audits.
- Successfully lead the audit of the Compliance Agreement between United States Department of Education and [company name].
- Prepared and executed IT audit and federal funds programs.
- Used ACL for computer aided audit tests (CAAT).
- Supervised, mentored and worked with audit teams (up to 8 auditors).
- Helped to establish an annual audit plan.
- Detected and communicated issues and proposed recommendations to high level management.
- Participated in integrated, compliance and external audits.
- Lead investigator in fraud cases and incident handling with more than $200,000 in losses detected.
- Mentored other auditors in IT technologies.
10+ years of experience
Monitor all EDI clearinghouse processes and the exchange of claims and remittance transactions (ANSI 835 & 837) between providers and payers to ensure balanced processing of data.
- Extensive research and troubleshooting file and claim discrepancies.
- Initiate proactive notification to clients of any issues or delays in processing or delivery of audited data.
- Deliver required documentation and assistance needed to resolve problems and delays in association with audited data and within set time periods.
- Provide feedback and analysis for system enhancements that enables auditing of data to be performed more efficiently and with improved accuracy.
0-5 years of experience
Conducted audits at government entities including city hall, fire departments, police departments, utility companies, airports, and library.
- Examined and analyzed accounting records to determine financial status of state agencies.
- Verified journal and ledger entries of cash and check payments, purchases, expenses, and trial balances by evaluating and authenticating asset items.
- Made recommendations regarding improving operations and financial position of entities while reporting on the assessed level of risk.
- Established testing strategies to highlight current or potential internal weaknesses.
0-5 years of experience
Responsible for overall project management, including audit planning, defining key controls, preparing a risk based testing strategy, project timeline and budget, supervision of staff members, and reporting of audit findings to clients
- Obtained a thorough understanding of processes and controls through interviewing appropriate personnel and research
- Assisted in successful fraud investigations resulting in substantial recoveries
- Responsible for maintaining an Access database of all issues identified within the department
- Comprehensive knowledge in both the Healthcare and University Industries
0-5 years of experience
Provided customer service to hotel guests above and beyond Hyatt standards
- Resolved guest issue to assure excellent service recovery
- Created reports and settlements to assist every department in a full service hotel
- Learned general housekeeping to assist guest needs when housekeepers are unavailable
- Quickly learned and mastered Opera Property Management System
0-5 years of experience
Ran nightly audit reports and processed daily credit card authorizations
- Worked extensively in Excel, preparing financial statements and reports
- Reported directly to accounting manager and hotel general manager
- Kept a balanced cash drawer, working with large amounts of cash
- Provided customer service to guests checking in and out, and other guest related issues
0-5 years of experience
Served as Lead Auditor on multiple Information Technology audits.
- Developed audit programs for Systems Development, Physical Security, and Information Security audits.
- Composed Audit Reports and collected management responses to observations.
- Provided Information Technology support to Business Process Auditors for non-IT focused audits.
- Conducted testing on management’s behalf for Sarbanes-Oxley requirements.
- Assisted external auditors in collecting data for independent testing.
- Maintained certification and reinforced technical expertise through continuing education.
0-5 years of experience
Conducted audits by doing entire physical counts of client inventories as well as test counts.
- Trained materials coordinators on company policy and inventory practices.
- Updated and reconciled all cycle counts in clients inventory management software.
- Created reports based on audit findings for management review.
0-5 years of experience
Conduct floor plan audits of truck and construction dealers across the United States
- Perform and document leasing audits used by account managers to assess credit risks
- Increased audit turnaround time efficiency by 16% from mid-year to year-end while decreasing cost per audit by 12% over the same timeframe
- Maintain customer relationships while enforcing audit requirements
- Create itineraries for domestic travel on a weekly basis
- Provide training and support to new members of the audit team
0-5 years of experience
Reviews and verifies accuracy of mortgage loans in accordance with the organization’s policies and federal regulations.
- Provided tracking and reporting of quality assurance and control findings.
- Identified and make recommendations on possible corrections and report to management.
- Performs other related duties as assigned and required.
0-5 years of experience
Performed an audit analysis on each loan modification
- Determined risk and compensating factors in every underwriting decision
- Audited DOJ, FHLMC, FHA and Portfolio modifications
- Highly developed written and oral communication skills
- Reviewed each loan for fraud
0-5 years of experience
- Assisted in conducting cellular phone and data device reviews on the Probation Department and Sheriff’s Department.
- Assisted in conducting an audit of the Department of Mental Health (DMH) and UCLA Affiliation Agreement (Agreement) for Fiscal Years 2007-08 through 2011-12.
- Researched fiscal and operational inquiries posed by County departments by gathering data from multiple sources such as the County Fiscal Manual, department directives, and the County Code.
- Performed sunset reviews on County commissions by evaluating the achievements, mission, goals, and duties of commissions and recommending to the Board of Supervisors whether a commission should continue, modify their mission and duties, or disband.
- Performed internal audit tasks such as interviewing department staff, analyzing complex financial data from various sources to develop findings supported by evidence and to detect irregularities, and drafting reports and memoranda based upon information received.
- Ensured that sensitive information and HIPAA-protected information was redacted from audit documentation to protect the safety, confidentiality and privacy of department staff and the public.
6-10 years of experience
Assisted in hosting external audits and state agency inspections.
- Conducted audits for QA functions within the Clinical Trials Department and other relative department activities to assure compliance with GLP/GCP regulations.
- Reviewed data and reports generated from all laboratories performing Clinical Trials testing
- Prepared and developed timely reports of the audit findings for distribution to management.
- Responsible for the tracking of the audit reports and the compliance of all follow-up corrective actions.
- Provided expert, detailed feedback regarding audit findings in order to inform regulatory-compliant process implementations.
- Maintained current knowledge of GLP/GCP regulations and company policies and procedures.
- Conducted audits of external vendors such as Iron Mountain.
- Maintained archives (internal/external) and tracked all materials through the process.
- Authored and reviewed QA SOPs in Master Control.
0-5 years of experience
Served as project leader or core member in projects such as auditing annual report, reviewing interim
financial report, issuing debenture, auditing for listed companies and internal control
- Complied and consolidated financial statement, wrote audit reports and analytical review reports
- Communicated with customers on important audit adjustment and future rectify and reform
- Reviewed team work paper and audit documents
0-5 years of experience
Perform audits, reviews, and compilations for public (SEC), private, government, not-for-profit, legal, retail/wholesale, and gaming clients
- Developed and designed audit procedures in accordance with US GAAS based on the understanding of the entity’s business and risk assessments
- Address and follow up on multiple findings and suggest improvements
- Perform internal audit and independent accountant functions for gaming clients
- Perform testing of internal controls and recommend changes to strengthen controls for increased efficiencies and risk reduction
- Perform and document execution of audit procedures defined by engagement’s objectives
0-5 years of experience
Audited and scored calls for key clients within the banking division.
- Responsible to assess the legal collectors in the attorney network within the banking division
- Assigned to select scored calls to be used on monthly calibration meetings with key clients within the banking division
- Evaluated and assessed a variety of calls for the Department of Education
- Responsible for communicating with various supervisors about calls and updating rosters for the Department of Education
- Organized companywide call calibration meetings for the Department of Education
- Certified in company’s HIPAA program and audited health related accounts
- Introduced and setup a priority project planner within SharePoint to prioritize and update statuses on outstanding department initiatives
0-5 years of experience
Audited bank and financial institution using McGladrey external audit management software
- Documented and validated the operating effectiveness of clients’ internal control system.
- Reviewed financial statement footnote and disclosure in accordance with GAAP.
- Performed payroll audit to ensure accurate 401K contribution.
- Reviewed investment portfolio for impairment including verification of selected information.
- Confirmed account data with customers of the institution using standard auditing practices for sampling.
- Verified accuracy of interest calculations and accruals for deposit and the institution’s investment portfolio.
- Reconciled amortization and accretions to bank’s investment and general ledger system.
- Reconciled all deposit applications to general ledger system.
10+ years of experience
Respond to chemical spills and remove waste according to company policy
- Invoice damage or lost packages
- Served on safety committee that saw four years without a department injury
- Personally received 100% on two OSHA Facility Audits
- Last two department scores in OSHA Facility Audits were highest in region
- Started a recycle program that lowered waste costs by 15%
0-5 years of experience
Performed audits of the North American operations of a multinational chemical, pharmaceutical, medical supply and agricultural company.
- Responsible for all phases of the audits, including planning, performing and reporting on the results.
- Led a team of up to 4 auditors depending on the size and complexity of the engagement.
- Assisted external auditors in the performance of interim and year end audit procedures.
- Develop written audit reports for presentation to members of audit management.
0-5 years of experience
- Worked in San Francisco Bay area as a GE Quality Auditor, all work is performed within AT&T central offices throughout California.
- After the installation of T-Box critical power equipment in the central offices throughout Northern California, perform a quality audit using AtTask quality software.
- Provided audit reports to the technicians in order to have them process corrections.
- Participated in weekly conference calls reporting out on status of jobs.
- Reviewed and audited required documentation that was submitted after the installation was complete for accuracy.
- Generate quality reports for GE quality audit managers and installation managers.
0-5 years of experience
- Maintained and updated the quality management system, including procedure enhancements, revision changes, and overall process control.
- Collected and analyzed weekly quality data for evaluation, and presented reports to managers.
- Organized external audits, performed internal audits, and drove all external and internal CAPAs till closure.
- Compiled training material and conducted quality-related training.
0-5 years of experience
Tax researcher for payroll clients reporting payroll with ADP
- Researched and resolved notices that were delinquent/missing reports, liens and/or levy’s
- Maintained and exceeded daily goal of releasing notices
- Made outbound calls on occasion to state agencies
6-10 years of experience
Managed accounts payable for 18 Taco Bell stores, 18 Burger King stores and 2 Popeyes stores.
- Input a large volume of invoices into Great Plains accounting system in a daily basis.
- Assured all Food invoices are submitted on a weekly basis from each store and are accurate to process for payment.
- Generated Daily Sales report from B50 software to send to Office Executives, District Managers and Operation Managers.
- Assured all daily sales are accurate on B-50 software by auditing daily paper work that is sent into our office from each store on a weekly basis.
- Scan all invoices into Laserfiche scanning system.
- Manage all vendor accounts and responsible for answering all vendor calls.
- Obtain appropriate approval for Repair and Maintenance invoices.
0-5 years of experience
Prepare and review working papers and document procedures and conclusions, perform random sampling and test selected samples, evaluate results and if necessary, prepare findings and recommendations
- Create and follow time budgets, conduct entrance, exit, and planning meetings, and discuss complex
- Develop and plan audits, including overall audit strategies and audit approach
- As auditor in charge, trained and supervised multiple staff, including planning daily and long term work
- Research auditing standards, apply to audits as necessary, and educate clients about applicable standards
- Maintain positive relationships with staff, managers and agency personnel
- Observe and document controls for nightly Louisiana Lottery drawings
0-5 years of experience
Finalized all manual phone testing.
- Processed accurate data entry of all testing results into the system.
- Reported all system and phone issues to direct supervisor when necessary.
- After phone checks completed all the steps to package and send out merchandise to customers.
- Worked collectively with a team to complete special projects within deadline.
- Functioned well independently to complete all tasks assigned by immediate supervisor.
- Completed R.F. testing as well as cell signals and Wi-Fi checks.
0-5 years of experience
- Collaborated with external auditors to test the accuracy of financial statements and ensure compliance with GAAP
- Review control plans, supporting documentation, and develop testing to ensure SOX 404 compliance
- Perform a transition of control documentation from the 1992 COSO Framework to the 2013 COSO Framework
- Perform operational, financial and compliance audits in accordance with bank policy and applicable federal regulations (SEC, OCC, and Federal Reserve Bank)
- Develop audit documentation, perform audit procedures, develop recommendations/remedial actions to mitigate the risk of loss to the bank
- Develop successful relationships between the audit department and other departments within [company name]
0-5 years of experience
- Searched and analyzed financial information of stocks listed in DAT Fund. Rebuilt the portfolio based on principles and strategies of DAT Fund to check whether the portfolio could be allocated as reported.
- Used updated information to backtest the portfolio performance. Concluded drawbacks of DAT Fund in construction, modeling and risk management.
- Gave a presentation on the audit and provided suggestions for optimizing DAT fund.
0-5 years of experience
Secured 4 perfect nights within 2 months of opening.
- Handled front desk functions for evening shift as well as night audit.
- Set up wake up calls, sent housekeeping, and coordinated with security.
- Processed payments, made reservations, and checked guests in and out of the hotel.
- Provided some concierge service such as arranging drivers or cabs.
0-5 years of experience
Understanding the major factors that contribute to weatherization deficiencies in a home.
- Identification of strength and weakness in insulation and ventilation efficiency.
- Application of weatherization concepts to your contracting or inspection of a home.
- Mitigation of insulation defects with proper weatherization techniques.
- Proper remediation of air leaks and insulation gaps in doors, windows, walls, basements, crawlspaces, attics, and more.
- Techniques to market your home, business, and so much more.
- Working with a crew of 8 to 10 on multi-family dwellings.
0-5 years of experience
Responsible for checking in late guests and charging them for amount of stay and incidentals.
- Able to answer any questions guests had upon check in.
- Verify all guests are checked in, charge for one night the no shows.
- Close and balance credit card activity for the day.
- Run night audit program and make sure day rolls over.
- Distribute various reports to house keeping and management.
6-10 years of experience
In depth customer service to international and domestic guests.
- Developed hotel reservations for individual and corporate guests.
- Handled cash and credit card transactions.
- Contributed in helping make breakfast.
- Challenged to sell/market new Choice Hotel members to receive extra revenue.
- All certifications and training are up to date for guest service agent, night auditor, and sale management. Available upon request.
6-10 years of experience
- Conducts performance audits focused on SSA’s systems and programs
- Responsible for ensuring that work is compliant with Government Accountability Office standards
- Briefs management on status of audits in progress
- Received Council of the Inspectors General on Integrity and Efficiency (CIGIE) Award for Excellence in 2014
- Received the Inspector General’s Award and OIG’s Exemplary Contribution / Service Award in 2010
0-5 years of experience
Follow specified procedures to audit all shift closings for the hotel’s daily activities.
- Produce accurate and timely reports for each cash transaction.
- Post and balance all in house accounts (running preliminary reconcilitions).
- Detail, post and transmit daily transaction reports (credit card and cash) for the review of General Manager and hotel profit centers.
- Act as hotel system liaison during night hours.
- Provide exceptional guest service (collecting payment at checkout, and/or directions to guest regarding other hotels in area, points of interest, shopping locations, eateries, etc.).
- Update and prepare computer system for following day.
0-5 years of experience
Prepare audit workbooks and recommend audit modifications as appropriate. This includes data extraction, storage, manipulation, processing, and analysis.
- Verify the proper audit criteria are being followed for the supplier’s workforce.
- Adjust paperwork as necessary in accordance with policies and procedures.
- Prepare all audit adjustments as necessary to verify the company’s reports.
- Complete a written report of audit findings and summary of audit adjustments.
- Conduct exit interviews and respond to issues identified by the audit completed.
0-5 years of experience
Initiate and maintain professional relationships with client personnel.
- Responsible for documenting an understanding of a client’s accounting, internal control, system-software, and reporting processes.
- Research and interpret applicable financial accounting guidance, as necessary.
- Execute audit procedures and audit engagement documentation complies with firm’s standards.
- Prepare client financial statements, related footnotes, audit-findings, and post-audit correspondence with client.
- Provide real-time progress reports to supervisory personnel.
- Other responsibilities also encompass the Audit Staff responsibilities described below.
0-5 years of experience
- Greet and recognize guests, manage front desk tasks for a 104-suites hotel.
- Serve as public relations for the hotel, recommended top dining, area events, and local attractions.
- Encourage IHG Rewards enrollments, providing information to guests on benefits of memberships.
0-5 years of experience
Post room charges, taxes, guest charges, and other transactions to guest accounts.
- Audit postings, transactions, reconcile balances and subsidiary accounts, batch credit cards, and close out accounts.
- Prepare daily analysis of all revenue sources and update statistics daily
- Perform check-in & check-out functions as needed
- Process, review, and update reservations as needed
- Audit invoices before vouching and approving for payment, compile and maintain accounts payable records
- Summarize results of operations for management.
0-5 years of experience
- Promoted on December 17, 2014
- Increase Holder reporting and compliance to increase the Unclaimed Property trust fund, where funds are held until the rightful owner claims their property.
- Conduct field audits, compliance reviews, and manage third party auditor contracts and agreements.
- Review holder submissions, reconcile reports and balancing the general ledger
- Monitor MS CRM Dynamics for queued tickets and respond to consumer questions, logging call resolutions.
0-5 years of experience
- Responsible for the compilation and submission of all sales and use tax claims generated by the firm for our client hospitals
- Oversight of the claim recovery process with state agencies and vendors
- Pro-active review of quarterly sales/use tax payments in an effort to reduce client liability
- Creation of financial reports focused on pricing analytics and pricing refund claim identification
- Identification of savings opportunities for clients
- Coordination of efforts with internal teams: Managing Partner, Director of Audit & Analytics, Director of Prescription Cost Savings, and Accounts Payable Auditor
0-5 years of experience
Conduct scope project audits ensuring transaction activity is effectively monitored and that suspicious activity is appropriately investigated evaluated documented and addressed.
- Identify excessive risk, fraud, and misrepresentations as it relates to Customer Due Diligence and Enhanced Due Diligence.
- Reviewed transaction look-back projects.
- Completed Know Your Customer’s (KYC) remediation.
- Worked directly with bank staff to facilitate the on boarding of new clients to the business -Performed enhanced due diligence (EDD) for the bank’s new clients identified as high-risk customers.
Compliance Auditor Duties and Responsibilities
Compliance Auditors oversee a number of tasks to ensure that regulation guidelines are being followed and regulations are being met. In reviewing several job listings for this profession, we found the following are among the core duties and responsibilities of a Compliance Auditor.
Oversee and Conduct Audits A Compliance Auditor will manage both external and internal audits as necessary. This will include reviewing records, reports, software and any other relevant programs and activities affected by regulations. Following an audit, Compliance Auditors will then make recommended changes to procedures or practices that are not in compliance with stated regulations and help to implement a plan to address such changes.
Identify Risks Being proactive is important for Compliance Auditors. As part of their responsibilities, Compliance Auditors will analyze potential risks within specific areas of a company in order to avoid compliance issues. This might include reviewing risk assessment studies conducted by government agencies and professional organizations to gauge the possible risk potential of the company they are working for.
Maintain Compliance Records Keeping track of any violations reported against a company and responses and plans regarding these violations are the responsibilities of a Compliance Auditor. Conducting an analysis of existing compliance records and making any necessary updates would also fall under this category. Recording any compliance training by company employees is another aspect of maintaining compliance documents.
Compliance Auditor Skills
Attention to detail and strong communication, analytical and decision-making skills are among the most important traits a Compliance Auditor must have to be successful in this position. The ability to work both individually and in teams is also important. A Compliance Auditor should be particularly vigilant in following up to ensure that developed plans addressing compliance issues and problems have been implemented. In addition to these general skills, a Compliance Auditor could be expected by potential employers to possess the following skills. Core skills: Based on job listings we looked at, employers want Compliance Auditors with these core skills. If you want to work as a Compliance Auditor, focus on the following.
- Understanding operations and practices within the industry for which you are auditing, such as health care or accounting
- Using relevant software when performing such duties as data analysis or quality assurance
- Reviewing training materials to ensure a company’s knowledge of compliance guidelines
- Understanding levels of potential risks and how to address each risk
Advanced skills: While most employers did not require the following skills, multiple job listings included them as preferred. Add these to your Compliance Auditor toolbox and broaden your career options.
- Possess relevant industry-specific certifications, such as Certified Internal Auditor
- Knowledge of basic software applications, such as Microsoft Word and Excel
Compliance Auditor Resources
The following are among the best industry resources we found that could be helpful as you continue your Compliance Auditor research. Both online and print resources are listed here. On the Web
Compliance Audit & Management Blog – A blog focusing on advice of Compliance Auditors, consultants and other relevant professionals about how to work in this field. Covers best practices, standards reviews, new regulations and more.
Thinking Like an Auditor Blog – Presented by Wolters Kluwer Audit, Risk & Compliance, this blog contains perspectives and tips from those currently working in the compliance field.
Compliance Week – An online and print resource with newsletters, articles, forums and a monthly magazine for Compliance Auditors working for or with public companies. Industry Groups
Ethics & Compliance Initiative (ECI) – Combines relevant associations such as the Ethics & Compliance Association (ECA) and Ethics & Compliance Certification Institute (ECCI) to give Compliance Auditors a place to network, review best practices and get information about certification.
The Institute of Internal Auditors (IIA) – Founded in 1941, the IIA offers live and online training conferences and seminars, certification information and books and online publications regarding all aspects of internal auditing. Compliance Auditor Books
Building a Career in Compliance and Ethics – A comprehensive look at a career in compliance, from job search methods to ethics. Contains helpful advice from those working in the field.
501 Ideas For Your Compliance and Ethics Program – Written by a seasoned compliance veteran, this book addresses ways to develop and conduct audits and auditing programs.
Compliance Management for Public, Private, or Nonprofit Organizations – A practical and detailed guide to overseeing compliance practices in any type of organization.
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Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
