Position Summary:
The Compliance Department Operations Coordinator is responsible for supporting the day-to-day operations of the Compliance Department by monitoring audit workflow, tracking staff time and utilization, maintaining audit database, coordinating audit documentation, and ensuring key deadlines and reporting requirements are met. This role requires strong organizational skills, attention to detail, proactive follow-up, and the ability to communicate effectively with internal team members, managers, clients, and external contacts.
JOB RESPONSIBILITIES
Time and Utilization Oversight
- Review prior-week time entries for staff and seniors each Monday to ensure timely and accurate submission.
- Monitor utilization metrics and identify trends that may require follow-up or escalation.
Audit Administration and Documentation
- Assemble and deliver final audit reports in accordance with each client’s specific requirements and preferences.
- Generate and distribute engagement letters and status reports to clients.
- Submit scheduling issues to the appropriate fund or client contact in a timely manner.
- Maintain database for current and completed audits, ensuring records are accurate and up to date.
- Enter new audit work into the database and time entry system.
- Make updates to audit templates upon request.
Staff Monitoring and Workflow Management
- Manage the department’s check-in/check-out process for auditors in the field.
- Follow up with staff who do not check in or check out within designated timeframes.
- Escalate issues promptly when employers cancel appointments or refuse to provide required audit documentation.
- Monitor audit deadlines and identify overdue items.
Monthly Reporting and Quality Tracking
- Review audits submitted during the prior month and prepare reporting on utilization, hours, and audit production by auditor.
- Confirm that explanations for audits exceeding target hours are documented in database.
- Verify that staff are meeting monthly audit submission expectations and communicate gaps or trends to management.
- Ensure evaluation scores are entered for delivered audits.
- Prepare exception reports for audits exceeding target hours, as applicable.
QUALIFICATIONS
- Strong organizational and follow-up skills with the ability to manage multiple priorities and deadlines.
- Excellent attention to detail and commitment to accurate documentation.
- Professional communication skills, including the ability to interact with internal staff, managers, clients, and external contacts.
- Ability to work independently, identify issues, and escalate matters appropriately.
- Experience with audit administration, project coordination, compliance operations, or professional services administration preferred.
PREFERRED SYSTEMS EXPERIENCE
- Scoro or similar project management/workflow tracking software.
- Power BI or other reporting tools.
- Microsoft Office applications, including Outlook, Excel, Word, and Teams.
- Document management systems and shared folder environments.
IDEAL CANDIDATE PROFILE
The ideal candidate is proactive, detail-oriented, and comfortable working in a fast-paced professional environment. This individual should be able to monitor deadlines, communicate clearly, maintain accurate records, and support department leadership by keeping audit workflow and reporting processes organized and current.
EEO:
Calibre is an Equal Opportunity Employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under federal, state, or local law.
