Join a team that plays a critical role in shaping and maintaining high standards in the insurance industry. As a Compliance Auditor, you\u2019ll gain hands-on experience evaluating both financial and operational practices, ensuring organizations operate with integrity and transparency. This is an opportunity to grow your expertise, work with experienced professionals, and make a meaningful impact on an industry that touches thousands of clients every day. You\u2019ll also benefit from a collaborative environment that values professional development, continuous learning, and career growth.\r\n

Responsibilities of the Compliance Auditor is as follows:\r\nPerform preliminary risk assessment of the brokerage selected for audit (the audit subject) based on a review of existing data and established risk factors\r\nDetermine relevant areas of potential risk and design and deploy a semi-customized audit through the appropriate selection of existing audit modules\r\nGather financial records and other operational documents from the brokerage, and request additional information as required\r\nAnalyze records and identify areas of concern related to Position Reports, equity shortfalls, trust shortages, continuing education and other matters\r\nConduct interviews with brokers and other brokerage staff to gather information, discuss areas of concern, suggest improvements, and discuss possible resolutions\r\nDetermine appropriate regulatory approach, including, when appropriate, escalating high risk matters to Investigations\r\nCommunicate outcomes of all files to the brokerage, both verbally and in writing using available templates\r\nFollow RIBO\u2019s audit service standards and guidelines\r\nIdentify emerging industry trends and assist in determining an appropriate course of action\r\nRemain current on the Registered Insurance Brokers Act, By-Laws and Regulations including the Code of Conduct, and other relevant legislation and industry practices\r\nProvide feedback on organizational processes, particularly in CCI and actively participate in process improvement initiatives\r\n\r\n

TMGNY\r\n"