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Become A Compliance Auditor

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Working As A Compliance Auditor

  • Getting Information
  • Evaluating Information to Determine Compliance with Standards
  • Communicating with Supervisors, Peers, or Subordinates
  • Updating and Using Relevant Knowledge
  • Analyzing Data or Information
  • Deal with People

  • Mostly Sitting

  • $65,950

    Average Salary

What Does A Compliance Auditor Do At Amerisourcebergen Corporation

* Performs
* audits to ensure alignment of business unit or location with the , internal
* policies and procedures, applicable regulations, and code of conduct standards.
* Generates audit documentation including but not limited to: audit checklist,
* audit agenda, audit summation, audit report(s).
* Provides recommendations and data required for development of an annual
* risk-based internal auditing schedule.
* Provides consultation on corrective and preventive actions performed as a
* result of internal audit observations; follows-up and provides data required to
* determine the timeliness and effectiveness of corrective and preventive actions
* performed.
* Follows-up and provides data required for key performance metrics related to
* internal audit performance, Corrective and Preventive Action (CAPA) program and
* continuous quality improvement.
* Recommends organizational process improvement initiatives based on internal
* audit observations and CAPA data analysis.
* Assists in the development and implementation of audit presentation
* materials.
* Identifies compliance or safety issues, performs investigative research,
* determines root cause analyses, and documents corrective and preventive action
* plans.
* Follows-up and provides data required for data trending and analysis to
* monitor and report on the effectiveness of the Compliance Program
* Participates in compliance training or awareness activities as directed
* Extensive domestic travel required, international on occasion.
* Evaluates the efficacy of completed CAPA plans.
* Ensures requested timelines are documented and met.
* Performs related duties as assigned

What Does A Compliance Auditor Do At Children's Services Council of Palm Beach County

* This professional position performs contract compliance and financial audits, evaluates the accuracy and reliability of funded agencies financial and operating information, as well as the effectiveness of their internal controls, and conduct financial statements trend analysis.
* Conduct internal operational and performance audits.
* Prepares audit risk plans to ensure legal, procedural, and operational contract compliance, and validates the financial accountability of funded agencies.
* Prepares organized, accurate and competent work papers and final reports ensuring documentation clearly supports the conclusions reached for each audit objective.
* The Audit and Compliance Department provides contract oversight of CSC's funded agencies as well as the internal audit function within the CSC

What Does A Compliance Auditor Do At Highmark Health

* Performs internal concurrent, prospective, and retrospective audits to assure that billed services are supported by documentation in the medical record and that all coding, billing, and documentation is compliant with appropriate guidelines and federal and state regulations.
* Develops audit detail summary spreadsheets and reports to address any coding, documentation, or financial discrepancies.
* Conducts presentations of final audit findings to department staff, physicians, and appropriate individuals.
* Works with auditees on corrective action plans and educates management, physicians, utilization review/case management staff and/or hospital personnel on documentation, billing, and coding requirements.
* Responsible for defending payor claims denials for medical necessity, coding, billing, and documentation through coordination of and participation (when appropriate) in the appeal process
* RACs, ZPICs, MICs and OIG audits and other payors as assigned.
* Performs internal concurrent, prospective, and retrospective audits to assure that research services and bills are supported by documentation in the medical record, that research activities coincide with study protocol approved by the IRB, and that all documentation is compliant with federal and state regulations.
* May provide guidance to hospital entities and performs reviews as needed in response to external medical necessity audits conducted by the Medicare Administrative Contractor, the RAC, MIC, ZPIC, IRB, etc.=
* Post
* Acute Care Auditor Only: Supports non-audit related compliance program activities for post-acute care as needed including completion of Medicare 855s and other regulatory or licensure paperwork, and research/interpretation of new/existing regulations

What Does A Compliance Auditor Do At Kforce

* Conduct preliminary surveys of SOX audit areas to define scope and analyze risk
* Draft planning memos and engagement letters
* Prepare opening and closing meeting presentations
* Draft SOX audit programs ensuring complete coverage and analysis of assigned areas
* Execute audit testing and document workpapers in accordance with departmental guidelines
* Draft audit reports and review findings with Internal Audit department management and the client
* Develop knowledge in a critical subject matter area and/or knowledge of key business processes
* Ensure that issues or problems are addressed and communicated appropriately in a timely manner
* Communicate testing results to the project manager, process owner, and management
* Draft observations and recommendations to resolve or prevent errors and enhance controls within the audited entity
* Perform special reviews and other related duties as assigned
* Provide timely status reports to the Manager and Director
* Develop value-added relationships with process owners and business unit management
* Utilize data analytics in performing audit services
* Facilitate teamwork by contributing to team efforts, sharing responsibility for team results and exhibiting a positive attitude
* Rapidly assimilate and apply new knowledge in areas such as: general business, transaction processing industry, financial accounting, business writing and presentations, business risk and mitigation techniques, and businesses and practices
* Bachelor's degree in Accounting, Business, Finance or Economics required
* CPA, MBA, CIA, requisite designation or comparable business experience highly preferred
* years of experience, preferable in Big 4 Public or National Accounting firm, or comparable business experience
* Moderate out of town and local travel, estimated at 15%
* per year

What Does A Compliance Auditor Do At J&J Family of Companies

* The Staff Compliance Auditor will collaborate with business partners to ensure compliance to all regulatory and standard requirements.
* Specific areas of focus will be:
* Internal Audits: Establishes, evaluates and maintains the internal audit program that ensures quality management systems are operating in compliance; develops and manages audit plans; conducts audits, develops metrics and compiles data on auditing results, issues or trends and corrective actions and presents to senior management; and develops and delivers required training.
* Research emerging regulatory trends and changes in regulations and standards to incorporate into the business to ensure ongoing compliance to these requirements.
* The Staff Compliance Auditor also coordinates and supports requests for directed audits, received from senior management and other customer/business partner groups; supports inspection readiness, external inspections, and other quality and compliance projects; and performs other assigned duties, as needed.
* Standards Management: Implement and facilitate process to manage internal and external standards.
* Special Projects and Base Business: Perform special projects as requested.
* Qualifications
* A minimum of a 4-year college degree (Bachelor’s Degree) or Equivalent in a technical or science-related field or equivalent is required.
* Master’s Degree or equivalent is preferred, with preferred areas of study being in a Scientific discipline or related Engineering Discipline.
* A minimum of 6 years of auditing experience in a medical device environment is required.
* A Working Knowledge of 21 CFR Part 820, QSR, ISO 13485, SOR 98
* CMDR (Canada Medical Device Regulations, J
* PAL (Japanese), MDD (European) requirements, and knowledge of Brazil GMP and other applicable regulations and standards is required

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How To Become A Compliance Auditor

Most accountants and auditors need at least a bachelor’s degree in accounting or a related field. Certification within a specific field of accounting improves job prospects. For example, many accountants become Certified Public Accountants (CPAs).  

Education

Most accountant and auditor positions require at least a bachelor’s degree in accounting or a related field. Some employers prefer to hire applicants who have a master’s degree, either in accounting or in business administration with a concentration in accounting.

A few universities and colleges offer specialized programs, such as a bachelor’s degree in internal auditing. In some cases, those with associate’s degrees, as well as bookkeepers and accounting clerks who meet the education and experience requirements set by their employers, get junior accounting positions and advance to accountant positions by showing their accounting skills on the job.

Many colleges help students gain practical experience through summer or part-time internships with public accounting or business firms.

Licenses, Certifications, and Registrations

Every accountant filing a report with the Securities and Exchange Commission (SEC) is required by law to be a Certified Public Accountant (CPA). Many other accountants choose to become a CPA to enhance their job prospects or to gain clients. Many employers will often pay the costs associated with the CPA exam.

CPAs are licensed by their state’s Board of Accountancy. Becoming a CPA requires passing a national exam and meeting other state requirements. Almost all states require CPA candidates to complete 150 semester hours of college coursework to be certified, which is 30 hours more than the usual 4-year bachelor’s degree. Many schools offer a 5-year combined bachelor’s and master’s degree to meet the 150-hour requirement, but a master’s degree is not required.

A few states allow a number of years of public accounting experience to substitute for a college degree.

All states use the four-part Uniform CPA Examination from the American Institute of Certified Public Accountants (AICPA). Candidates do not have to pass all four parts at once, but most states require that they pass all four parts within 18 months of passing their first part.

Almost all states require CPAs to take continuing education to keep their license.

Certification provides an advantage in the job market because it shows professional competence in a specialized field of accounting and auditing. Accountants and auditors seek certifications from a variety of professional societies. Some of the most common certifications are listed below:

The Institute of Management Accountants offers the Certified Management Accountant (CMA) to applicants who complete a bachelor’s degree. Applicants must have worked at least 2 years in management accounting, pass a two-part exam, agree to meet continuing education requirements, and comply with standards of professional conduct. The exam covers areas such as financial statement analysis, working-capital policy, capital structure, valuation issues, and risk management. 

The Institute of Internal Auditors (IIA) offers the Certified Internal Auditor (CIA) to graduates from accredited colleges and universities who have worked for 2 years as internal auditors and have passed a four-part exam. The IIA also offers the Certified in Control Self-Assessment (CCSA), Certified Government Auditing Professional (CGAP), Certified Financial Services Auditor (CFSA), and Certification in Risk Management Assurance (CRMA) to those who pass the exams and meet educational and experience requirements.

ISACA offers the Certified Information Systems Auditor (CISA) to candidates who pass an exam and have 5 years of experience auditing information systems. Information systems experience, financial or operational auditing experience, or related college credit hours can be substituted for up to 3 years of experience in information systems auditing, control, or security.

For accountants with a CPA, the AICPA offers the option to receive any or all of the Accredited in Business Valuation (ABV), Certified Information Technology Professional (CITP), or Personal Financial Specialist (PFS) certifications. The ABV requires a written exam, completion of at least six business valuation projects, and 75 hours of continuing education. The CITP requires 1,000 hours of business technology experience and 75 hours of continuing education. Candidates for the PFS also must complete a certain amount of work experience and continuing education, and pass a written exam.

Advancement

Some top executives and financial managers have a background in accounting, internal auditing, or finance.

Beginning public accountants often advance to positions with more responsibility in 1 or 2 years and to senior positions within another few years. Those who excel may become supervisors, managers, or partners; open their own public accounting firm; or transfer to executive positions in management accounting or internal auditing in private firms.

Management accountants often start as cost accountants, junior internal auditors, or trainees for other accounting positions. As they rise through the organization, they may advance to accounting manager, chief cost accountant, budget director, or manager of internal auditing. Some become controllers, treasurers, financial vice presidents, chief financial officers, or corporation presidents.

Public accountants, management accountants, and internal auditors can move from one aspect of accounting and auditing to another. Public accountants often move into management accounting or internal auditing. Management accountants may become internal auditors, and internal auditors may become management accountants. However, it is less common for management accountants or internal auditors to move into public accounting.

Important Qualities

Analytical skills. Accountants and auditors must be able to identify issues in documentation and suggest solutions. For example, public accountants use analytical skills in their work to minimize tax liability, and internal auditors use these skills to detect fraudulent use of funds.  

Communication skills. Accountants and auditors must be able to listen carefully to facts and concerns from clients, managers, and others. They must also be able to discuss the results of their work in both meetings and written reports.

Detail oriented. Accountants and auditors must pay attention to detail when compiling and examining documentation.

Math skills. Accountants and auditors must be able to analyze, compare, and interpret facts and figures, although complex math skills are not necessary.

Organizational skills. Strong organizational skills are important for accountants and auditors who often work with a range of financial documents for a variety of clients.

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Compliance Auditor jobs

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Compliance Auditor Career Paths

Compliance Auditor
Senior Auditor Controller Chief Finance Officer
Chief Finance And Operating Officer
14 Yearsyrs
Audit Manager Internal Auditor Accounting Manager
Corporate Accounting Manager
8 Yearsyrs
Business Analyst Business Manager Human Resources Manager
Director Of Human Resources
10 Yearsyrs
Business Analyst Senior Finance Analyst Accounting Manager
Division Controller
9 Yearsyrs
Senior Internal Auditor Controller
Finance Controller
9 Yearsyrs
Controller Finance Consultant Senior Finance Analyst
Finance Planning Manager
8 Yearsyrs
Compliance Specialist Business Analyst Product Manager
General Manager
7 Yearsyrs
Compliance Manager Assistant Vice President Human Resources Coordinator
Human Resources Business Partner
10 Yearsyrs
Audit Manager Assurance Manager Information Systems Security Officer
Information Security Officer
12 Yearsyrs
Senior Accountant Accounting Manager Controller
Interim Controller
15 Yearsyrs
Assistant Vice President Senior Manager Internal Auditor
Internal Audit Manager
8 Yearsyrs
Assistant Vice President Office Manager Licensed Practical Nurse
Nursing Director
9 Yearsyrs
Compliance Specialist Compliance Manager Senior Manager
Operations Director
9 Yearsyrs
Compliance Analyst Business Analyst Product Manager
Operations Manager
7 Yearsyrs
Compliance Manager Senior Manager Operations Director
President Of Operations
11 Yearsyrs
Senior Auditor Senior Accountant Controller
Regional Controller
10 Yearsyrs
Senior Accountant Accounting Supervisor Accounting Manager
Senior Accounting Manager
10 Yearsyrs
Controller Finance Director
Senior Director Of Finance
14 Yearsyrs
Senior Internal Auditor Senior Finance Analyst Finance Manager
Senior Finance Manager
11 Yearsyrs
Compliance Analyst Assistant Vice President
Vice President And Manager
10 Yearsyrs
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Compliance Auditor Demographics

Gender

  • Female

    60.7%
  • Male

    37.5%
  • Unknown

    1.8%

Ethnicity

  • White

    77.7%
  • Hispanic or Latino

    11.1%
  • Asian

    8.0%
  • Unknown

    2.2%
  • Black or African American

    1.0%
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Languages Spoken

  • Spanish

    54.9%
  • French

    6.9%
  • Portuguese

    5.9%
  • Chinese

    5.9%
  • Russian

    3.9%
  • German

    2.9%
  • Japanese

    2.9%
  • Mandarin

    2.9%
  • Arabic

    2.9%
  • Turkish

    1.0%
  • Irish

    1.0%
  • Hebrew

    1.0%
  • Greek

    1.0%
  • Cantonese

    1.0%
  • Polish

    1.0%
  • Armenian

    1.0%
  • Tagalog

    1.0%
  • Urdu

    1.0%
  • Gujarati

    1.0%
  • Hindi

    1.0%
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Compliance Auditor

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Real Compliance Auditor Salaries

Job Title Company Location Start Date Salary
International Compliance Auditor Platinum Real Development Services, LLC Miami, FL Jun 29, 2016 $167,024
Director-Commercial Compliance Audit & Risk Management Georgia-Pacific LLC (Georgia-Pacific Corporation) Atlanta, GA Mar 09, 2015 $150,000 -
$205,000
Director, Compliance, Audit Services Bristol-Myers Squibb Company New York, NY Sep 11, 2014 $143,100 -
$271,900
SR. Manager, Compliance Audit TEVA Pharmaceuticals USA, Inc. North Wales, PA Jan 09, 2015 $137,000
Auditor, SOX Compliance Project Management Accretive Solutions, Northern California, Inc. Mountain View, CA Jul 09, 2015 $131,000
Director, Compliance Rsrch, Config Auditing Tenable Network Security, Inc. Columbus, GA Oct 01, 2013 $130,000
Compliance Auditor Medical Center Staffing Services, Inc. Oceanport, NJ Apr 16, 2012 $125,220
Compliance Auditor Medical Center Staffing Services, Inc. Oceanport, NJ May 06, 2011 $114,785
Compliance Auditor Medical Center Staffing Services, Inc. Oceanport, NJ Apr 20, 2011 $114,785
Quality Engineer, Compliance Auditor Kimberly-Clark Corporation Roswell, GA Feb 27, 2015 $110,000 -
$120,000
Global Senior Compliance Auditor Abbvie Inc. North Chicago, IL Apr 21, 2016 $95,175
Senior Professional, Supplier Compliance Auditor Allergan Sales, LLC Irvine, CA Sep 10, 2013 $94,322
Senior Global Compliance Auditor Abbvie Inc. North Chicago, IL Sep 01, 2014 $94,000
Analyst, Technology Compliance-External Audits Salesforce.Com Inc. San Francisco, CA Feb 29, 2016 $90,355
Compliance Auditor National Medical Care, Inc., A Fresenius Medical Care N.A. Company Waltham, MA Jan 02, 2016 $86,500
Technology Systems Compliance Auditor Boulay PLLP Eden Prairie, MN Jan 12, 2015 $85,000
International Compliance Auditor Silvas Financial Services LLC Davie, FL May 27, 2015 $81,786
Compliance Auditor Repsol Services Company The Woodlands, TX Sep 01, 2015 $80,004
Compliance Auditor Metropolitan Jewish Health System New York, NY Oct 25, 2010 $80,000
Senior Compliance Auditor Connor Consulting Corporation Provo, UT May 01, 2016 $80,000 -
$100,000
Global Senior Compliance Auditor Abbvie Inc. North Chicago, IL May 02, 2016 $80,000 -
$95,500
Senior Auditor: Sox/Sec Compliance Focussed Audits CBIZ Accounting, Tax & Advisory of San Diego, LLC San Diego, CA Jul 25, 2016 $78,042
Financial Compliance Auditor University of Colorado Denver, CO Feb 01, 2010 $67,692 -
$90,230
International Compliance Auditor Silvas Financial Services LLC Davie, FL Oct 01, 2014 $66,269
Senior Compliance Auditor Connor Consulting Corporation Provo, UT Aug 31, 2015 $65,950 -
$75,950
Senior Compliance Auditor Connor Consulting Corporation Provo, UT Sep 01, 2015 $65,950 -
$75,950
Senior Contract Compliance Auditor Connolly, Inc. Wilton, CT Dec 01, 2009 $65,761
Compliance Auditor Meth Dallas, TX Aug 16, 2016 $64,380
Compliance Auditor Methodist Health System Dallas, TX Aug 16, 2016 $64,380

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Top Skills for A Compliance Auditor

ComplianceAuditsAuditProceduresRegulatoryComplianceFinancialStatementsEnsureComplianceInternalAuditAuditFindingsCompanyPoliciesMedicalRecordsSafetyAuditReportsRiskAssessmentInternalControlsAuditProgramComplianceIssuesAuditResultsCorrectiveActionPlansFDAExternalAuditsSOX

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Top Compliance Auditor Skills

  1. Compliance Audits
  2. Audit Procedures
  3. Regulatory Compliance
You can check out examples of real life uses of top skills on resumes here:
  • Conducted compliance audits and tests of operational controls in coordination with collective bargaining agreements with multiple trade unions throughout the country.
  • Execute internal audit procedures, schedules, priorities and programs for achieving audit objectives and goals.
  • Performed a diversity of assignments related to regulatory compliance, operational auditing, and financial auditing.
  • Reviewed of documents for credit information, income, applications and financial statements.
  • Assisted in developing and implementing policies and procedures to ensure compliance with third party requirements and to minimize audit risk.

Top Compliance Auditor Employers

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Defining a Business Owners Cash Disbursments vs Salary

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