Staff Operations and Compliance Auditor

As a Staff Operations and Compliance Auditor at Protective, your primary responsibilities include performing audits related to Operations, Legal, Compliance, and HR. You'll work to ensure that organizational units are effectively meeting compliance standards and company objectives, utilizing your project management skills to create effective work plans, manage competing priorities, and coordinate with your audit team. Furthermore, you'll focus on client satisfaction, continuously look for process improvements, and provide insightful recommendations to strengthen our control structures.

To qualify for the Staff Operations and Compliance Auditor position at Protective, you’ll need a Bachelor’s degree in Accounting, Finance, Business Administration, or Economics from an accredited institution. While prior audit experience of up to three years is desirable, it's not mandatory. Additionally, pursuing a professional certification such as CIA, CISA, CFE, or CPA is preferred, alongside strong verbal and written communication skills. Experience in the insurance industry can be beneficial but is not required.

The key skills needed to excel as a Staff Operations and Compliance Auditor at Protective include strong analytical and logical reasoning abilities, a solid understanding of project management, and effective communication skills. You'll also benefit from being familiar with IT audit applications, like Microsoft Office, Tableau, and other internal audit systems. A proactive attitude toward client satisfaction and a willingness to suggest improvements will help you succeed in this role.

At Protective, a Staff Operations and Compliance Auditor has ample opportunities for career progression. Starting in this role, you could move into senior auditor positions, or specialize in areas such as compliance or risk management. With continuous professional development and the pursuit of further certifications, such as CISA or CPA, you can enhance your qualifications and open doors to leadership roles within the internal audit team.

The salary range for the Staff Operations and Compliance Auditor position at Protective is between $51,500 and $65,000 per year. This range reflects the company’s commitment to offering competitive pay based on various factors including location, skills, and overall experience. Additionally, the position offers performance-based incentives, further enhancing the total compensation package for employees.

When answering this question, focus on specific audit projects you've worked on, detailing your role, the challenges faced, and the outcomes. Highlight your ability to coordinate with team members and how project management skills contributed to meeting deadlines and ensuring compliance.

Discuss your approach to prioritization, perhaps using methods like the Eisenhower Matrix or time-blocking. Emphasize how clear communication with team members and stakeholders helps you align on priorities effectively while maintaining high standards of quality.

Explain your processes for reviewing applicable policies and procedures before an audit, as well as how you analyze data during the audit to ensure compliance. Discuss the importance of maintaining an open line of communication with management throughout this process.

Enumerate the specific technologies you've used, such as Microsoft Office, Tableau, or ACL. Offer insights into how these tools enhanced the audit process, such as streamlining data analysis or improving reporting.

Describe a specific situation where you discovered a significant compliance issue, detailing how you identified it, the actions you took to address it, and the outcome. This showcases your analytical skills and commitment to improvement.

Discuss your perspective on how internal controls are vital for mitigating risks and ensuring compliance. Be sure to mention how effective controls can safeguard company assets and promote operational efficiency.

Explain your preparation process, from understanding the client’s needs to setting a clear agenda. Emphasize the importance of active listening during the meeting and being open to feedback to enhance client relationships.

Discuss various resources you utilize to stay informed, such as industry journals, webinars, or professional networks. Continuous learning is key, and showing initiative in this area reflects your commitment to professional development.

Share specific examples demonstrating your openness to feedback, how you incorporate it into your work, and why it is important in achieving high-quality audit results. This shows your ability to embrace a collaborative approach.

Reflect on your passion for helping organizations improve their operations and the fulfillment you gain from ensuring compliance and integrity. Connecting it back to your experiences will reveal your depth of interest in this profession.