Compliance Audit Supervisor


The Compliance Audit Supervisor is responsible for performance of external compliance audit reviews focused on ensuring compliance with Trust Distribution Procedures and Settlement Agreements. Will be tasked with ensuring the efficient completion of audits, overseeing the work of other auditors, and maintaining levels of audit quality. Has knowledge of commonly-used concepts, practices, and procedures of claims review.

Primary Responsibilities:

  1. Participate in Trust Calls both jointly and independent.
  2. Review the work of the other auditors on the team.
  3. Ensure audits are done accurately in accordance with applicable standards.
  4. Assists in the planning and designing of auditing projects.
  5. Helps the team prioritize work. Set deadlines based on expectations and meet those deadlines.
  6. Oversees the Monthly Reporting process.
  7. Be able to review reports, identify audit-related issues, make recommendations and add analysis.
  8. Monitor the staff’s productivity.
  9. Helps develop, onboard, and integrate new projects and business.
  10. Helps train on new and existing projects as necessary.
  11. Works closely with management to achieve timely results on projects, and can step in as backup for managerial duties when needed.
  12. Attend meetings and transcribe meeting minutes.
  13. Other duties as assigned.


  1. Bachelor’s Degree in related field such as Compliance.
  2. Minimum of four years relevant work experience.
  3. CFE or CIA certification preferred.
  4. Strong working knowledge and demonstrated proficiency in Microsoft Office suite, including Excel, Word, and PowerPoint.
  5. Excellent verbal, written, and people-oriented skills.
  6. Computer literate with the ability to learn new software applications as required.
  7. Strong attention to detail.
  8. Possess necessary technical skills.
  9. Exceptional organization skills and the ability to multitask.
  10. Effective time management skills and the ability to guide others with time management challenges. Demonstrated proficiency in managing competing demands through strong prioritization skills.
  11. Ability to identify complex problems and review related information to develop and evaluate options and implement solutions.
  12. Analytical skill set with the ability to see the whole picture.

Working Conditions:

Normal business office conditions, including working for prolonged periods of time at a computer screen. May require overnight travel. To submit a resume, please email us at