Summary:
The Compliance Specialist supports enterprise-wide compliance initiatives by monitoring adherence to company policies, regulatory requirements, and industry standards across sales, collections, marketing, digital accessibility, and third-party partner operations. This role is responsible for conducting audits, investigations, monitoring activities, and compliance reviews to identify risks, evaluate controls, and support remediation efforts. The Compliance Specialist partners with business stakeholders to promote a culture of compliance, ethics, and accountability while helping ensure regulatory readiness across the organization.
Duties and Responsibilities:
Compliance Monitoring & Auditing
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Conduct risk-based audits and monitoring activities across sales, collections, marketing, customer service, and third-party partner operations.
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Perform ad hoc reviews and investigations in response to identified risks, complaints, regulatory changes, or leadership requests.
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Evaluate the effectiveness of compliance controls and business processes.
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Identify compliance gaps, document findings, and partner with stakeholders to develop and track corrective actions.
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Maintain detailed audit and monitoring documentation to support internal reviews and regulatory examinations.
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Analyze trends and recurring issues to recommend process improvements and risk mitigation strategies.
ADA Accessibility Compliance
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Support oversight of the company’s digital accessibility compliance program.
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Monitor compliance with ADA requirements and WCAG accessibility standards across websites and digital assets.
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Coordinate testing, validation, remediation tracking, and reporting activities with business and technology teams.
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Assist in evaluating new initiatives, products, and communications for accessibility risks and requirements.
Sales & Collections Compliance
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Conduct monitoring, audits, and reviews of sales, collections, customer service, and third-party partner activities.
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Evaluate customer interactions, disclosures, scripts, and communications for compliance with company policies and regulatory requirements.
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Identify compliance risks and partner with stakeholders on corrective actions and process improvements.
Third-Party Partner Oversight
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Conduct compliance reviews of third-party marketing partners/lead generators.
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Evaluate partner activities for adherence to contractual obligations, company standards, and regulatory requirements.
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Identify and escalate vendor-related compliance concerns.
Ethics & Investigations
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Support intake, review, and investigation of ethics complaints, employee concerns, and potential policy violations.
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Gather and analyze information, document findings, and partner with appropriate stakeholders throughout the investigation process.
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Maintain confidentiality and professionalism while handling sensitive matters.
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Assist with reporting and tracking investigation outcomes and remediation efforts.
Compliance Advisory & Training
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Provide guidance to business stakeholders regarding compliance requirements, policies, and best practices.
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Assist in developing training materials, awareness communications, standard operating procedures, and compliance resources.
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Support implementation of new compliance initiatives and regulatory requirements.
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Serve as a resource for compliance-related questions across the organization.
Required Qualifications:
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2–5+ years of experience in compliance, audit, risk management, investigations, legal support, or regulatory operations.
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Experience conducting audits, monitoring activities, investigations, or control testing.
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Strong analytical, problem-solving, and critical-thinking skills.
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Ability to manage multiple priorities and work independently.
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Excellent written and verbal communication skills.
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Strong attention to detail and organizational skills.
Preferred Qualifications:
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Knowledge of consumer protection, advertising, accessibility, privacy, collections, and sales-related regulatory requirements.
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Familiarity with ADA and WCAG accessibility standards.
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Experience conducting compliance investigations, ethics reviews, or regulatory assessments.
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Experience working with third-party vendor oversight programs.
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Experience with compliance reporting, audit management, or risk assessment processes.
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Professional compliance, audit, or risk certifications are a plus.