• Compliance Auditor

    Aston Carter (Sioux Falls, SD)


    Job Title: Compliance AuditorJob Description

     

    As a Compliance Auditor, you will play a crucial role in supporting the Compliance Leadership team, including the Chief Compliance Officer and Compliance Manager, by assisting in the creation and maintenance of compliant procedures and reference materials. You will ensure that transaction closings adhere to procedures and state licensing requirements, and regularly verify licensing for referral partners in various states. Additionally, you will contribute to the implementation and performance of internal audits, identify compliance risks, and manage vendor risk processes.

    Responsibilities

    + Assist in creating and maintaining compliant procedures and reference materials.

    + Review transaction closings to ensure compliance with state licensing requirements.

    + Verify licensing requirements for referral partners in California, South Dakota, and other applicable states.

    + Help implement and perform audits under the Internal Audit Program.

    + Assist in identifying compliance risks and tracking corrective actions.

    + Manage vendor risk processes and maintain Venminder relationship.

    + Recommend updates to compliance procedures and monitor their implementation.

    + Review published content, suggest revisions, and track approvals and distribution.

    + Support compliance training for new employees, track attendance, and assist with course completion.

    + Ensure adherence to internal policies and procedures.

    + Maintain a strong understanding of laws, regulations, and guidelines affecting the business.

    Essential Skills

    + Minimum 2 years in a compliance/auditor role, preferably within the banking industry.

    Additional Skills & Qualifications

    + Experience with data and claims processing.

    Work Environment

    The work environment is business casual, providing a professional yet comfortable atmosphere. This role is a direct placement position.

     

    Job Type & Location

     

    This is a Permanent position based out of Sioux Falls, SD.

    Pay and Benefits

    The pay range for this position is $60000.00 - $90000.00/yr.

     

    Health & Wellness: Medical, dental, vision coverage, prescription plans, and Employee Assistance Program (EAP) for confidential counseling and personal support. Financial Security: Company-paid short- and long-term disability, life insurance, flexible spending accounts, and retirement plans (401(k) with employer contributions). Time Off: Generous Paid Time Off (PTO), paid holidays, and paid parental leave. Additional Perks: Annual HSA contributions, wellness reimbursements, team-building activities, and free office snacks. Long-Term Rewards: After three years, enjoy a $2,000 unplugged vacation incentive and a paid sabbatical day. Culture & Community: Diversity and wellness committees, fun events, and community service opportunities.

     

    Workplace Type

     

    This is a fully onsite position in Sioux Falls,SD.

     

    Application Deadline

     

    This position is anticipated to close on Dec 29, 2025.

    About Aston Carter:

    Aston Carter provides world-class corporate talent solutions to thousands of clients across the globe. Specialized in accounting, finance, human resources, talent acquisition, procurement, supply chain and select administrative professions, we extend the capabilities of industry-leading companies. We draw on our deep recruiting expertise and expansive network to meet the evolving needs of our clients and talent community with agility and excellence. With offices across the U.S., Canada, Asia Pacific and Europe, Aston Carter serves many of the Fortune 500. We are proud to be a ClearlyRated Best of Staffing® double diamond winner for both client and talent service.

     

    The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

     

    If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please email [email protected] (%[email protected]) for other accommodation options.