Compliance Monitoring Specialist

Overview

What Drives You?

  • Career paths with opportunities to learn vital roles and skills?
  • Meaningful work in a stable, promote-from-within organization?
  • Professional satisfaction and helping others
  • A workspace that is dynamic, fast, fun, and challenging?

The Compliance Monitoring Specialist is responsible for performance of periodic risk assessments of regulatory compliance and monitoring compliance with applicable laws and regulations through analysis and review of transactional data, new and existing programs/processes, policies and procedures, marketing materials, and training materials related to regulatory compliance.

Responsibilities

  • Identify and assess areas of risk within the regulatory compliance environment and make recommendations for improvements to existing policies, procedures, or practices as necessary.
  • Development, administration, and performance of compliance monitoring procedures including, but not limited to, analysis and review of transactional data, new and existing programs/processes, policies and procedures, marketing materials, and training materials related to regulatory compliance.
  • Assist in the development and administration of training programs related to regulatory compliance.
  • Development, administration, and review of new and existing compliance policies and procedures.
  • Review marketing materials for compliance with applicable regulations and provide recommendations as necessary.
  • Monitor developments in the regulatory environment, analyze the impact of developments on new and existing programs and practices, and communicate assessment of the impact to management and affected employees as necessary.
  • Assist in planning and administration of the SOX compliance program, and conduct periodic SOX control testing.
  • Prepare and present results of compliance monitoring procedures and provide recommendations to management as necessary.
  • Pursue continuing education and/or professional development as appropriate
  • Engage in DriveTime’s culture, including the development of professional relationships with audit/compliance personnel, management, and DriveTime employees

Qualifications

  • Bachelor’s degree in Accounting/Finance/Information Systems or a related field.
  • 1+ years of experience in a regulatory compliance, financial analysis or audit environment.
  • Experience in the Financial Services or other heavily regulated industry is preferred.
  • Experience performing analysis of transactional data and identifying trends within the data.
  • CIA, CRCM, CFE, or other relevant professional certifications are preferred but not required.
  • Position may require up to approximately 10% overnight travel
  • Proficient with Microsoft Office applications including Word & Excel. Experience building and executing queries in SQL is a plus

And when it comes to hiring, we don't just look for the right person for the job, we seek out the right person for DriveTime. Along the way, we provide plenty of opportunity to be creative and grow professionally in a fun, high-energy environment.

 

Hiring is contingent upon successful completion of our background and drug screening process. DriveTime is a drug-free, tobacco-free workplace and an Equal Opportunity Employer.

 


Meet Some of DriveTime's Employees

Ray F.

Chief Executive Officer

Ray’s main mission is to continue to grow the DriveTime brand through the strategic intersections of modern technology and changing trends within the consumer demand.

Monica A.

Director, Accounting

Monica is responsible for preparing DriveTime’s quarterly and annual financial statements, as well as analyzing outcomes of potential businesses transactions the company considers entering into.


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