Nova 401(k) Associates Inc.
Compliance Specialist Houston, TX
Nova 401(k) Associates Inc., Houston, Texas, United States, 77246
Overview
We are hiring a Compliance Specialist in our Houston, TX office. As a Compliance Specialist you will play a central role in helping Nova and its sister companies maintain and demonstrate a culture of compliance, security, and ethics. Additionally, for our companies that offer fiduciary services, the Compliance Specialist will assist with documenting fiduciary activities. The Compliance Specialist will work with senior management and other stakeholders on risk assessments and development of controls. Additionally, the Compliance Specialist will manage and coordinate our SOC audits including interacting with evidence and control owners and outside auditors. Nova will provide internal and outside training for this position.
Responsibilities
Review compliance dashboard and follow-up with control and evidence owners as necessary
Alert senior management if a control or evidence owner is not responding appropriately
Communicate audit results to process owners, explore with them to identify root causes, and help them establish appropriate action plans
Ensure remediation is completed in a timely manner
Build and maintain a thorough understanding of the company's operational processes and systems
Assist outside auditors by making available the information that is necessary to complete their reviews
Select, obtain, and inspect transactions or original documentation as evidence of control performance
Review evidence of control performance submitted by others to ensure appropriateness of evidence
Assist in writing policies and procedures related to compliance
Assist in developing controls for new risks, requirements or frameworks
Schedule and facilitate fiduciary meetings
Prepare meeting minutes and notes
Coordinate collection of evidence for our fiduciary framework
Prepare periodic reports for the Board on operating companies' compliance with fiduciary compliance
Provide periodic training on select policies and related issues to staff
Serve as backup for other compliance specialist(s) within the Nova family of companies
Qualifications
Degree in a compliance-related field preferred
0-2 years of experience in compliance, internal controls, or risk management
Classwork or experience with exposure to IT or coding preferred
Work experience in a professional environment preferred
Excellent attention to detail
Exceptional organizational and project management skills
Strong interpersonal skills with the ability to collaborate with control and evidence owners
Ability to work with individuals at multiple levels
Used to managing timelines
Experience with StrikeGraph or similar software a plus
Compensation and Benefits
Base Salary $55,000 - $75,000 depending on experience
Medical, dental, disability, and life insurance
Paid time off
401(k) with employer match
Work Location/Hours
Work hours: 40 hours per week
You may choose a start time between 7:30 am and 8:30 am
Work from our Houston, TX office located at 10777 Northwest Freeway Suite 440 Houston, TX 77092
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Responsibilities
Review compliance dashboard and follow-up with control and evidence owners as necessary
Alert senior management if a control or evidence owner is not responding appropriately
Communicate audit results to process owners, explore with them to identify root causes, and help them establish appropriate action plans
Ensure remediation is completed in a timely manner
Build and maintain a thorough understanding of the company's operational processes and systems
Assist outside auditors by making available the information that is necessary to complete their reviews
Select, obtain, and inspect transactions or original documentation as evidence of control performance
Review evidence of control performance submitted by others to ensure appropriateness of evidence
Assist in writing policies and procedures related to compliance
Assist in developing controls for new risks, requirements or frameworks
Schedule and facilitate fiduciary meetings
Prepare meeting minutes and notes
Coordinate collection of evidence for our fiduciary framework
Prepare periodic reports for the Board on operating companies' compliance with fiduciary compliance
Provide periodic training on select policies and related issues to staff
Serve as backup for other compliance specialist(s) within the Nova family of companies
Qualifications
Degree in a compliance-related field preferred
0-2 years of experience in compliance, internal controls, or risk management
Classwork or experience with exposure to IT or coding preferred
Work experience in a professional environment preferred
Excellent attention to detail
Exceptional organizational and project management skills
Strong interpersonal skills with the ability to collaborate with control and evidence owners
Ability to work with individuals at multiple levels
Used to managing timelines
Experience with StrikeGraph or similar software a plus
Compensation and Benefits
Base Salary $55,000 - $75,000 depending on experience
Medical, dental, disability, and life insurance
Paid time off
401(k) with employer match
Work Location/Hours
Work hours: 40 hours per week
You may choose a start time between 7:30 am and 8:30 am
Work from our Houston, TX office located at 10777 Northwest Freeway Suite 440 Houston, TX 77092
#J-18808-Ljbffr