Field Auditor

The Field Auditor will be located in Ohio and will have primary responsibility for conducting exams throughout Ohio, and other states in the assigned region (as needed). The role will develop annual plans and programs for Branch Manager and Satellite Office. The estimated salary range for this role is: $55,000- $65,000.

The Field Auditor administers compliance education to Field Leaders, Field Force Representatives and Office Staff and performs administrative functions in support of Compliance/Audit

Requirements

The Field Auditor conducts research and analyzes field audit data and field inquiries, performs audits, provides compliance training and observes seminars and presentations to ensure proper supervision and compliance. The role functions as a communication channel for flow of information to and from the Home Office in Duluth, GA. Essential Functions Develops Annual Plan to meet audit

for their respective zone (s)based on Department criteria and submits to the Business Control Manager for approval Prepares and distributes notification for individual audits Coordinates with the Field Force and establishes monthly schedules in support of the Annual Plan considering travel cost and efficient zone(s) coverage Selects candidates for No-Notice audits from Annual Plan to ensure that approximately 50% of RVP & Satellite audits are No-Notice Prepares and conducts base shop compliance briefings and educates Field Force representatives on proper methods and procedures Conducts research and analyzes data in support of field audits and field inquiries Researches, reviews and understands compliance

Analyzes data obtained during audit process to determine any compliance deficiencies Performs audits and observe seminars and Opportunity Night presentations to ensure proper supervision and compliance Conducts newly promoted Satellite and Branch Manager FAST Start Training and base shop audits Performs special audits and investigations as required Determines audit results after considering relevant data, including office, documents, systems Interacts with and establishes rapport with field leaders and maintains a high degree of knowledge, proficiency and understanding of regulatory

and Company policies Maintains a working knowledge of Company products and product processing procedures Relates Company goals and objectives to the Field Force in a positive manner and obtains field input and observes field response to programs and changes in order to provide feedback to senior management College degree or 4 years’ experience in a financial services environment 1–3 years previous experience as a Field Compliance Auditor, Inspector and/or Investigator is desired Bi-lingual (Spanish and English) is desired Possess and maintain Series 6 and 26 Licenses or pass the SIE within 30 days of date of hiring and obtain the Series 6 and Series 26 within 90 days of hire Excellent PC skills including Microsoft Word and Excel Excellent written and verbal communication skills Ability to manage multiple priorities Willingness to travel and work on weekends as needed Day one health, dental, and vision insurance 401(k) Plan with competitive employer match Vacation, sick, holiday and volunteer time off Life and disability insurance Flexible Spending Account & Health Savings Account Professional development Tuition reimbursement Company-sponsored social and philanthropy events