Compliance Representative
Law Office of Joe Pezzuto., LLC - Phoenix, AZ

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Job Description:
Compliance Representative

Job Description:
This is an excellent opportunity for individual with a solid background in Customer Service. The successful candidate must have the ability to work independently, exercise sound judgment, and to observe the highest degree of confidentiality in the handling of information received in the course of their responsibilities.

  • Participate in compliance related reviews
  • Audits internal employees to ensure policies and procedures provided through training programs are being complied with.
  • Operate within a group to prevent violations of policies, laws, and regulations
  • Conduct periodic internal reviews to identify potentially suspicious and/or unethical behavior
  • Completely and accurately document information taken through the review process
  • Work within a team to ensure consistent understanding of requirements
  • Prepare activity reports in compliance with established regulatory guidelines and time frames
  • Communicate findings to management
  • Effectively obtain information and assistance from appropriate personnel
  • Willingly participate in the development of goals and execution of strategies within the function or department
  • Knows when to ask for additional guidance or information
  • Respond to all routine compliance inquiries in a timely manner or as set by department policy

If considered, one will operate under direct supervision of the Compliance Manager, and may at times receive guidance from a member of the Operations team.

Qualifications:

  • Associates or Bachelor’s Degree appropriate
  • 2 years customer service experience preferred
  • Self-starter, capable of working under minimum supervision
  • Adept to multi-tasking and meeting deadlines in high-pressure environment
  • Results oriented team player
  • Strong problem solving ability
  • Exceptional research and analytical skills with the ability to analyze large amounts of data
  • Strong interpersonal and verbal/written communication skills
  • Computer literate
  • Proficient in MS Office (Outlook/Word/Excel/PowerPoint)

Job:
Compliance Representative

Shift:
Monday – Thursday, 9:00 AM to 6:00 PM
Friday, 7:00 AM – 4:00 PM

Job Type:
Full Time

Pay is between $9.00 and $11.00 depending upon experience


Indeed - 19 months ago - save job - block
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