Risk & Compliance Support Specialist

Position Summary:

While upholding department and company policies, the Risk & Compliance Support Specialist role is responsible for conducting and/or overseeing ProVest s New York Department of Consumer and Worker Protection ( NYC DCWP ) Process Server Audit Program for all New York City Process Servers to ensure compliance with all regulatory and legal requirements. Additionally, a key component of this position is to serve as the compliance advocate and direct liaison to the process servers and management on procedural changes and compliance control implementations necessary to achieve compliance.

Essential Duties and Responsibilities:

Perform compliance and auditing procedures, including adhering to all criteria for testing, reviewing and analyzing evidence, and documenting processes and procedures for all

NYC DCWP

process servers Must understand and have full knowledge of all NYC laws and NY state laws regarding the requirements for service of process and the record, filing, etc. requirements associated with such laws and requirements Assist management in conducting any annual or other periodic risk assessments and the development of appropriate risk controls and compliance plans Conducts research and documentation for current and emerging regulatory requirements Prepares compliance and risk management communications for distribution to appropriate departments and personnel Assist management with the review of local, state and federal regulations to ensure the company s compliance Assist/share knowledge with process servers related to NYC DCWP and New York law guidelines Act as a liaison with all

NYC DCWP

licensed process servers Perform log book and/or electronic log audits and assist servers with log book/electronic log corrections and proper amendments thereto Perform GPS audits Perform field sheet audits Track, process and file all required reports for all Traverse Hearings for

NYC DCWP

servers Perform electronic records (external and internal) audits and assist process servers with proper amendments Preparation of all

NYC DCWP

process server s service of process monthly audit reports Preparation and filing of all

NYC DCWP

Disciplinary Actions and Non-Compliance Reports Maintain complete records of all

NYC DCWP

filings, legal research, law changes, process server communications, client communications, and all other records required to be maintained in accordance with the

NYC DCWP

laws and requirements. Act as liaison with independent service provider, NYC DCWP licensed process servers, and ProVest s IT Department to assist and solve issues with job activation, job assignment, or access to system(s) Routine monitoring of the

NYC DCWP

website for process server agency and process server notifications and updated law changes. Perform process server liaison compliance duties to properly address and resolve

NYC DCWP

process server issues Perform other related duties as required Minimum Qualifications (Education, Experience, Skills): Exercise sound analytical skills Proven problem solving skills Maintain a high level of organization and acute attention to detail in daily work duties Maintain a high level of work ethic Effective communication skills (written and verbal) Ability to lead others to identify potential exposures and embrace required changes Project professional cooperative demeanor at all times High integrity and trustworthiness Exercises sound judgment and critical thinking Proficient in Microsoft Office, Advanced Excel skills a plus Minimum typing skills of 30 WPM Familiarity with legal documents preferred Audit experience a plus

Attendance Requirements:

Due to the nature of the ProVest, LLC s needs, regular and reliable attendance is required. Individuals must be able to work at least a 40 hour work week, Monday through Friday, and be available as situations arise requiring extended hours.