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Lead Financial Compliance Specialist

2 months ago

Austin, Texas, United States augmentjobs Full time
Job Overview

Position Title: Lead Financial Compliance Specialist

Overview: The Lead Financial Compliance Specialist is tasked with ensuring that the organization maintains compliance with financial regulations, internal protocols, and industry benchmarks. This position involves performing compliance evaluations, analyzing financial procedures for adherence to regulations, and offering strategic insights to minimize financial risks. The Lead Financial Compliance Specialist is essential in protecting the organization’s financial soundness and ensuring compliance with legal and regulatory mandates.

Key Responsibilities:

  • Execute comprehensive compliance evaluations and assessments of financial activities, transactions, and documentation to confirm adherence to regulatory standards.
  • Formulate and enforce compliance policies, procedures, and controls to mitigate financial risks and adapt to regulatory updates.
  • Track and evaluate modifications in financial regulations and industry benchmarks, ensuring prompt revisions to internal policies and practices.
  • Work collaboratively with internal departments to identify compliance challenges and offer guidance on remedial actions.
  • Compile and deliver compliance reports to upper management, emphasizing critical findings, risks, and strategic recommendations.
  • Facilitate and assist in external audits, supplying necessary documentation and addressing auditor inquiries.
  • Conduct educational sessions for personnel on compliance-related subjects, fostering awareness and adherence to financial regulations.
  • Examine financial data and transactions to identify and avert potential compliance challenges or fraudulent activities.
  • Assist in the creation and upkeep of compliance-related documentation, including risk assessments and audit trails.

Required Qualifications:

  • Bachelor's degree in Accounting, Finance, Business, or a related discipline.
  • A minimum of 5-7 years of experience in financial compliance, internal auditing, or a comparable role.
  • In-depth knowledge of financial regulations, compliance standards, and internal control frameworks.
  • Proficiency with compliance management systems and financial auditing tools.
  • Exceptional analytical and problem-solving abilities, with a strong attention to detail.
  • Excellent communication and interpersonal skills, capable of effectively presenting compliance findings and recommendations.
  • Experience with regulatory reporting and compliance documentation.
  • Professional certification such as CPA (Certified Public Accountant), CFE (Certified Fraud Examiner), or CCEP (Certified Compliance and Ethics Professional) is preferred.