Compliance Specialist

Compliance Specialist

We are hiring a Compliance Specialist in our Houston, TX office. As a Compliance Specialist you will play a central role in helping Nova and its sister companies maintain and demonstrate a culture of compliance, security, and ethics. Additionally, for our companies that offer fiduciary services, the Compliance Specialist will assist with documenting fiduciary activities. The Compliance Specialist will work with senior management and other stakeholders on risk assessments and development of controls. Additionally, the Compliance Specialist will manage and coordinate our SOC audits including interacting with evidence and control owners and outside auditors. Nova will provide internal and outside training for this position.

Job Responsibilities :

• Review compliance dashboard and follow-up with control and evidence owners as necessary
• Alert senior management if a control or evidence owner is not responding appropriately
• Communicate audit results to process owners, explore with them to identify root causes, and help them establish appropriate action plans
• Ensure remediation is completed in a timely manner
• Build and maintain a thorough understanding of the company's operational processes and systems
• Assist outside auditors by making available the information that is necessary to complete their reviews
• Select, obtain, and inspect transactions or original documentation as evidence of control performance
• Review evidence of control performance submitted by others to ensure appropriateness of evidence
• Assist in writing policies and procedures related to compliance
• Assist in developing controls for new risks, requirements or frameworks
• Schedule and facilitate fiduciary meetings
• Prepare meeting minutes and notes
• Coordinate collection of evidence for our fiduciary framework
• Prepare periodic reports for the Board on operating companies' compliance with fiduciary compliance
• Provide periodic training on select policies and related issues to staff
• Serve as backup for other compliance specialist(s) within the Nova family of companies

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We get it. We listen. We communicate.