Compliance Specialist

Description

SUMMARY OF JOB PURPOSE:

Responsible for providing professional risk management services for the organization through external environmental scanning of organizational risks through legislation, statutes, minimum standards and related program risks and through internal program auditing and investigations of violations as related to licensing or policy violations.

ESSENTIAL FUNCTIONS:

This class specification lists the major duties and requirements of the job and is not all-inclusive. Incumbent(s) may be expected to perform job-related duties other than those contained in this document and may be required to have specific job-related knowledge and skills.

• Plans and conducts a variety of complex and comprehensive audits in following generally accepted auditing standards and requirements; counsels staff on the process; answers questions and provides information regarding audit processes, information required and possible outcomes. 
• Perform special reviews, audits and reports as requested by the board.
• Examine records, historical data, policies and procedures and other documentation; reconcile data; research appropriate laws and regulations. 
• Confers with organizational staff to clarify organizational information and ensure a clear understanding of their responsibilities, activities and functions as well as the effectiveness of internal reporting and control systems. 
• Conducts independent research; identifies possible areas of concern or irregularities; analyzes possible causes and recommends and evaluates alternative problem solutions; prepares technical, statistical, and narrative reports on the impact of alternatives; trains managers on assessing, strengthening, designing and implementing effective internal controls.
• Maintains accurate study records and files; prepares narrative and statistical reports of audit processes, findings, financial status, recommendations for actions and other matters; submits preliminary reports for supervisory review and comment; prepares final recommendations, reports and correspondence as required. 
• Meets with management to report and explain audit findings; provides implementation assistance and follow-up to ensure that recommendations have been effectively adopted. 
• Plans, conducts and analyzes risk assessment activities; directs, plans and conducts investigations involving health and safety of residents.
• Contributes to the efficiency and effectiveness of the unit's service to its customers by offering suggestions and directing or participating as an active member of a work team. 
• Represents the organization with dignity, integrity, and a spirit of cooperation in all relationships with staff and the public. 
• Other duties as assigned.

Requirements

QUALIFICATIONS:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.

Education and Experience:

• Bachelor’s degree in finance, accounting, business management, or related field preferred.
• AND one year of experience auditing, accounting, and/or management review and assessment.

OR 

• An equivalent combination of education, training and experience.

Required Knowledge and Skills

Knowledge of:

• Principles and techniques of financial, organizational, staffing, and management auditing.
• Data sampling and statistical analysis techniques.
• Principles and practices; general and fund accounting, fund reconciliation.
• Laws, codes and regulations related to the work.
• Principles of operational and capital budgeting; basic auditing principles and practices.
• Record keeping principles and practices with attention to detail.
• Computer applications related to the work.
• Correct business English, including spelling, grammar and punctuation.
• Techniques for working with a wide variety of people from various backgrounds where relations may be strained or confrontational. 

Skill in:

• Reviewing financial and operational documents according to standard audit practices.
• Performing standard problem definition and resolution activities.
• Interpreting, applying and explaining applicable codes, regulations, policies and procedures.
• Preparing clear and concise reports, correspondence and other written materials.
• Maintaining accurate records of work performed.
• Organizing own work, setting priorities and meeting critical deadlines.
• Independently planning and performing financial, organizational, staffing, management, and operational audits.
• Using initiative and independent judgment within established procedural guidelines.
• Performing professional-level analytical and programmatic work.
• Communicating effectively in oral and written forms.
• Contributing effectively to the accomplishment of team or work unit goals, objectives and activities.

REQUIRED CERTIFICATES, LICENSES, AND REGISTRATIONS:

Continued employment is contingent upon all required licenses and certificates being maintained in active status without suspension or revocation.

• Nevada driver’s license
• CPR and First Aid training within six (6) months of date of hire

PHYSICAL DEMANDS & WORKING ENVIRONMENT:

The physical demands described herein are representative of those that must be met by an employee to successfully perform the essential functions of the job. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions.

Mobility to work in an office setting, use office equipment; stamina to sit, stand and walk for extended periods of time; strength to lift and carry up to 20 pounds; vision to read printed materials and a computer screen, and hearing and speech to communicate in person and over the telephone.