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Compliance Auditor Job Description Template

Job Description Template

Compliance Auditor Job Description Template

May 8, 2023

Compliance Auditor Job Description Template

If you want to ease and speed up your hiring process, there is no better place than here! Your hiring journey starts with this FREE Compliance Auditor Job Description Template.

By providing you with helpful and comprehensive resources, we will help you discover and recruit the perfect individual for your business.

This career guide contains information such as skills, responsibilities, and requirements that will help you learn about this job position and distinguish suitable candidates.

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What is a Compliance Auditor?

Compliance Auditors evaluate the company’s activities and procedures to ensure compliance with relevant and applicable industry laws, regulations, and internal policies.

They conduct, manage, and supervise auditing activities, delegate tasks to audit team members, evaluate their performance, and provide daily guidance and assistance.

Compliance Auditors also identify areas and procedures which are not compliant and implement the necessary changes.

They analyze potential risks to avoid compliance issues, resolve operational and financial problems, and prepare and present reports on internal and external audits.

Related Job Titles for Compliance Auditor

The Top Compliance Auditor Skills

Skill Why it's important
Analytical Compliance Auditors use analytical skills to collect and study information from various resources and perspectives. Thorough analysis helps the draw conclusions and identify patterns and potential areas of non-compliance. Accurate analysis also helps them make recommendations and present their findings in order to improve the company’s operations.
Leadership Leadership helps Compliance Auditors to supervise members of the auditing team, delegate tasks, and evaluate performance. Leadership is essential for recruiting and training new team members, providing guidance and support, and collaborating with stakeholders and other department heads on implementing new policies and operational changes.
Attention To Detail Compliance Auditors must be detailed-oriented to accurately identify any areas of non-compliance. Attention to detail helps them review compliance information and documentation and ensure their accuracy and completeness. Attention to detail is essential for Compliance Auditors because even the smallest mistake or oversight can cause consequences.
Communication Communication is necessary for Compliance Auditors because they must be able to effectively collaborate and interact with their team members and other employees. Communication helps them present and explain their findings, recommend changes, and convey complex issues. Communication also allows them to ensure everyone understands the company’s goals and objectives.
Problem-Solving Compliance Auditors must have effective problem-solving abilities. This skill helps them identify and resolve various compliance problems and issues they may come across during the auditing procedures. They must implement solutions that meet both regulatory requirements and the needs of the company.

Compliance Auditor Job Description Template (Free)

We are hiring an experienced Compliance Auditor for our company. In this position, you will be conducting, managing, and supervising the company’s auditing activities and reviewing business activities to ensure compliance with relevant laws, regulations, and internal policies. You will identify non-compliant procedures, implement the necessary changes, and analyze and evaluate potential risks to avoid additional compliance issues.

You will also be responsible for identifying and resolving operational and financial issues and establishing and implementing overall auditing plans. You will gather and organize resources for internal and external audits, prepare reports on the auditing results, and present findings to stakeholders and department heads. Ultimately, you will delegate tasks to audit team members, monitor and evaluate their performance, and provide training and guidance to new hires.

You should have outstanding analytical, leadership, problem-solving, communication, and attention to detail for this position.

Compliance Auditor Duties & Responsibilities:

  • Conduct, manage, and supervise the company’s auditing activities
  • Delegate tasks to audit team members and monitor their performance
  • Investigate and review the company’s business activities to ensure compliance with relevant laws, regulations, internal policies, and standards
  • Identify procedures that are not compliant with industry regulations and implement the necessary changes
  • Analyze and evaluate potential risks with the company’s policies to avoid additional compliance issues
  • Identify and resolve operational and financial problems
  • Gather and organize resources for internal and external audits
  • Prepare accurate reports on the results of internal and external audits and present findings to stakeholders and department heads
  • Establish and implement overall compliance auditing plans
  • Provide procedural guidance and assistance to team members and new hires

Compliance Auditor Requirements:

  • Bachelor’s degree in accounting, economics, finance, or a similar industry
  • Previous working experience in auditing
  • Industry-specific certification is preferred
  • In-depth knowledge of the applicable industry laws, regulations, and standards
  • Familiarity with accounting software and MS Office, especially Excel
  • Outstanding communication and leadership skills
  • Exceptional analytical and problem-solving abilities
  • Attention to detail
  • Organization

Accounting Specialist Interview Questrions

Sample Interview Questions for a Compliance Auditor

Once you gather up all the received applications, you can use these sample interview questions for Compliance Auditor with Scorecard.

  1. What words would describe you the best?
  2. Why did you decide to become a Compliance Auditor?
  3. What do you enjoy doing when you’re not working?
Human Resources
  1. Do you think your formal education prepared you well enough for this position?
  2. Is there a specific reason you left your previous job?
  3. What qualifications make you more appropriate for this job than other candidates?
  1. How do you stay updated on the latest changes in industry-specific laws and regulations?
  2. What was the most challenging audit you conducted and what obstacles you had to overcome?
  3. How do you ensure your actions are ethical and consistent with the company’s values?
Technical Skills and Knowledge
  1. What is your process of developing and implementing compliance policies and procedures for the company?
  2. What resources do you use to assess the effectiveness of the company’s compliance policies and standards?
  3. Do you have any experience with conducting internal investigations?

What are the Educational Requirements for a Compliance Auditor?

The majority of employers seek a candidate with a Bachelor’s degree in finance, accounting, economics, or a related industry.

Huge advantages include previous working experience in auditing, risk management, and compliance.

Certification programs for Compliance Auditors are designed to ensure candidates acquire a good understanding of business operations, relevant laws and regulations, and auditing techniques.

Common certifications available for Compliance Auditors are Certified Regulatory Compliance Manager (CRCM) and Certified Compliance and Ethics Professional (CCEP).

How Much to Pay a Compliance Auditor when Hiring

Compliance Auditors earn between $23,000 and $88,500 per year.

Their median annual salary is $55,797.

Hourly rates range from $11 to $43.

The median hourly rate is $27.

Percentile 10% 25% 50%
75% 90%
Hourly Wage $11 $19 $27 $34 $43
Annual Wage $23,000 $39,500 $55,797 $70,000 $88,500

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Frequently Asked Questions about Compliance Auditor


What do Compliance Auditors do?

Compliance Auditors are responsible for conducting, managing, and supervising auditing activities in their company.

They gather and analyze resources to investigate business operations to ensure compliance with the relevant laws, regulations, internal policies, and standards.

Where do Compliance Auditors work?

Compliance Auditors can work in various industries, such as finance, banking, healthcare, consulting, manufacturing, technology, etc.

Who do Compliance Auditors report to?

Compliance Auditors typically report to the Chief Compliance Officer (CCO).

In some cases, they can report directly to the CEO or board of directors.

What skills are necessary for Compliance Auditors?

Compliance Auditors must have excellent communication, leadership, attention to detail, analytical, and problem-solving skills.

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