Compliance Auditor

JM Family Enterprises, Inc.

Compliance Auditor ensuring adherence to SETF policies and procedures across various operational teams. Analyzing risks, conducting audits, and collaborating with management for compliance enhancements.

Posted 7/9/2026full-timeSt. Louis • Alabama, Florida, Montana • 🇺🇸 United StatesMid-LevelSeniorWebsite

About the role

Key responsibilities & impact

Analyzing potential risks within specific areas of the company to avoid compliance issues
Inspecting and validating control enhancements and process changes implemented to mitigate risk.
Conducting ongoing testing of internal processes as assigned by the Compliance Manager or Chief Compliance Officer to ensure compliance with policies and procedures
Maintaining a high level of independence to be able to assure the effectiveness of internal controls, business processes, policies, procedures, and regulatory compliance.
Documenting test work, exceptions, observations, and making recommendations to enhance controls and/or identify opportunities for improved efficiencies.
Obtaining responses to the testing exceptions and ensuring the responses address the identified control/process weakness or deficiency.
Assisting in preparing reports that summarize the testing and rank by risk the exceptions and recommendations.
Reporting the results of testing and audits to Legal and Operations Management in a clear and concise manner.
Performing follow-up testing, as needed, to ensure all agreed-upon actions have been completed.
Conducting periodic assessments of key vendors (on-site and virtual, as applicable)
Reviewing records, reports, systems, and any other relevant programs and activities affected by regulations
Making recommended changes to procedures or practices that are not in compliance with stated regulations, and helping implement a plan to address such changes
Documenting operational process changes based on policy updates, partnering with Operations and/or IT to implement process and system changes, and training associates on resulting process changes.
Training associates on process changes

Requirements

What you’ll need

Bachelor's degree or higher preferred
3–7 years of experience in operations, project management, compliance, legal, or audit
Excellent verbal and written communication, organizational, and interpersonal skills
Proven ability to multitask, prioritize work, and manage projects to successful completion
Proficient in Microsoft Word, Excel, and PowerPoint
Candidate must be available for overnight travel when required
Sound professional judgment and operational knowledge to assess the current state of a business area, compare it to what should be, and recommend appropriate action
Ability to build and sustain strong relationships with audit clients across all business units and all levels of leadership
Collaborative team player who works effectively with the Legal and Compliance team, shares knowledge, and supports others where needed
Ability to prioritize and work on multiple concurrent audits, projects, and compliance-related activities as requested
Strong planning skills — sets objectives and goals, breaks work into clear process steps, develops schedules and assignments, and anticipates and adjusts for problems or roadblocks
Ability to deal with ambiguity — effectively copes with change, acts without the total picture, and handles risk and uncertainty with composure
Skilled negotiation abilities — navigates difficult situations with internal and external groups diplomatically, is direct yet tactful, and quickly gains the trust of others
Comfort engaging with higher management — communicates confidently with upper management, understands how senior leaders think, and tailors information for maximum impact

Benefits

Comp & perks

Health insurance
401(k) matching
Flexible work arrangements
Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Compliance AnalysisRisk AssessmentInternal Control ValidationProject ManagementDocumenting ProcessesTesting ProceduresOperational Process ChangesVendor AssessmentReport PreparationRegulatory Compliance

Soft Skills

Excellent CommunicationOrganizational SkillsInterpersonal SkillsMultitaskingNegotiation Abilities