COMPLIANCE SPECIALIST

| BOARD OF ACCOUNTANCY *The Board of Accountancy provides assurance to the public that the CPA profession in Arizona operates at the highest level of professional competence through verification of education and experience credentials; monitoring the requirements for continuing education; and investigation of consumer complaints* | | --- | ### **COMPLIANCE SPECIALIST** | Job Location: | | --- | #### Address: 100 North 15th Avenue, Suite 165 Phoenix, Arizona 85007 | Posting Details: | | --- | #### Salary: $36,778.77 - $48,000.00 Annually #### Grade: 19 #### Closing Date: Open until Business Needs are Met | Job Summary: | | --- | The Compliance Specialist will assist in the administering of the compliance program which facilitates the work of the Board and three advisory committees including Accounting and Auditing, Tax, and Law Review as well as contracted investigators and the Board's assigned Assistant Attorney General in an effort to assist in the effective regulation of CPAs and firms to ensure their compliance with Board statutes and rules and the American Institute of Certified Public Accountants Code of Professional Conduct through the investigation of complaints and monitoring of compliance of disciplined registrants. The compliance program also communicates with CPAs and firms that fail to ensure compliance with continuing professional education and peer review requirements. *This position may offer the ability to work remotely, within Arizona, based upon the department's business needs and continual meeting of expected performance measures.* *The State of Arizona strives for a work culture that affords employees flexibility, autonomy, and trust. Across our many agencies, boards, and commissions, many State employees participate in the State’s Remote Work Program and are able to work remotely in their homes, in offices, and in hoteling spaces. All work, including remote work, should be performed within Arizona unless an exception is properly authorized in advance.* | Job Duties: | | --- | **Board and Committee Meeting Facilitation** • Facilitate the work of a seven-member Board, nine-member Accounting and Auditing Advisory Committee, nine-member Tax Advisory Committee, and five-member Law Review Advisory Committee, all of which meet on a regular monthly basis except for the Law Review Advisory Committee who only meets as needed, pursuant to A.R.S. § 38-431, and contract investigators. • Evaluate and assign new complaint files to appropriate investigative committees, committee liaisons, and investigators, and track/monitor the progress of complaint and Board files to facilitate future Board and Committee meetings. • Ensure proper written notification (notice and agenda) of meetings. • Review documents for distribution to the Board/Committees to ensure completeness of the investigative record and anticipate Board/Committee support needs. • Review, approve, and write summaries of agenda matters for Board and Committee members. • Upload documentation via cloud storage software for paperless dissemination of Board and Committee packet materials. • Draft, review, and approve Board and Committee minutes and ensure timely posting of minutes to Board website. • Prepare and deliver follow-up correspondence, as directed by the Board and Committees to relevant parties. **Compliance** • Coordinate and facilitate communication with members of the public, complainants, registrants, attorneys, investigators and Board and Committee members regarding status of compliance files. • Track and monitor the progression of cases through investigation and discipline. • Monitor disciplinary orders to ensure registrants' compliance with deadlines and schedule non-compliance issues on Board agenda for action. • Write final board order from administrative law judge’s recommended order as amended or approved by the Board. • Draft simple orders and complaint notice of hearings (CNOH). **File and Records Management** • Collect and maintain documents…