Audit Response Specialist

The Audit Response Specialist is responsible for ensuring that the organization adheres to all relevant regulatory requirements and internal policies when dealing with customers. This role involves answering vendor inquiries regarding customer compliance, conducting compliance reviews, and providing support to ensure that all customer interactions and transactions meet legal and regulatory standards.Key Responsibilities:Compliance Verification and Review:Review and verify customer documentation to ensure compliance with regulatory standardsConduct regular compliance audits of customer interactions and transactionsEnsure customer data and activities comply with internal policies and external regulationsVendor Interaction and Support:Answer inquiries from vendors regarding customer compliance and due diligenceProvide necessary documentation and information to vendors to facilitate complianceAct as a liaison between the organization and vendors to address compliance-related questions and issuesRisk Assessment and Management:Identify potential compliance risks associated with customer transactions and relationshipsDevelop and implement risk mitigation strategiesMonitor customer activities for any suspicious or non-compliant behaviorRegulatory Adherence:Stay updated with changes in regulatory requirements affecting customer complianceEnsure the organization's compliance practices align with current laws and regulationsAssist in preparing for regulatory audits and inspectionsReporting and Documentation:Maintain detailed and accurate records of all compliance activities and findingsPrepare compliance reports for senior management and regulatory bodiesDocument and report any compliance violations or issuesRequirementsBachelor's degree in Law, Business Administration, Finance, or a related field3-5 years of experience in compliance, risk management, or a similar role, preferably within the financial services industryStrong knowledge of regulatory requirements and compliance standardsExcellent analytical and problem-solving skillsEffective communication and interpersonal skillsAttention to detail and ability to handle confidential informationCertification in compliance (e.g., Certified Compliance & Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM)) is a plusWorking Conditions:Office environmentOccasional travel may be requiredMay involve handling sensitive and confidential informationBenefitsHealth, dental, vision, life, and short/long-term disability insurancePaid vacation, holidays, and sick leaveCompetitive compensation and opportunities for advancementRetirement plan with employer contribution matchWelcoming, family-style corporate culture uniquely suited to fast-paced, entrepreneurial, and motivated individualsOne of San Antonio's "Best Places to Work" for nine consecutive years