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Compliance Specialist

  • 500672
  • PHOENIX
  • BOARD OF ACCOUNTANCY
  • Full-time

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 N. 15th Ave., Suite 165

Phoenix, AZ 85007

Posting Details:

Salary: $33, 435.17 - $45,000 

Grade: 19

Closing Date: OTF

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 Practice, and Law Review as well as 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.

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 seven-member Law Review Advisory Committee, three of which meet on a regular monthly basis, 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 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 and written correspondence from/to the complainant, registrant, Board members, Committee members, committee liaisons, investigators, opposing counsel, attorneys general, constituents and other courts of law to regulate the certified public accounting profession.
  • Destruction and archival of records pursuant to records retention policy.
  • Process public record requests pursuant to A.A.C. R4-1-104 and ensure proper redaction of confidential information pursuant to A.R.S. § 32-749 and A.A.C. R4-1-105.
Knowledge, Skills & Abilities (KSAs):

Knowledge of:

  • Board statutes and rules
  • American Institute of Certified Public Accountants (AICPA) professional code of conduct
  • Open meeting law
  • Ex parte communication law
  • Complaint policies and procedures
  • Meeting preparation and coordination
  • Microsoft Office Suite
  • Office of Administrative Hearings procedures
  • Proper sentence structure and grammar
  • Public record retention and public record requests
  • Adobe Acrobat DC
  • Records management

Skills in:

  • Problem solving
  • Excellent written and oral communication
  • Research
  • Organizational
  • Proofreading and detail oriented
  • Personal computer operation
  • Coordinating activities and establishing priorities
  • Interpersonal

Ability to:

  • Plan, coordinate and establish priorities
  • Research and gather data
  • Work in an environment with changing priorities
  • Cooperate and communicate with the public and other stakeholders professionally and positively
  • Coordinate meetings, including the preparation of materials, meeting minutes and follow thru
  • Maintain an extremely high level of confidentiality
  • Work with a low-level of oversight
  • Use sound judgment
Selective Preference(s):
  • The knowledge, skills and abilities may be acquired with the receipt of a bachelor's degree, or higher, or through two or more years experience working with a regulatory board.
Benefits:

The Arizona Department of Administration offers a comprehensive benefits package to include:

  • Sick leave
  • Vacation with 10 paid holidays per year
  • Health and dental insurance
  • Retirement plan
  • Life insurance and long-term disability insurance
  • Optional employee benefits include short-term disability insurance, deferred compensation plans, and supplemental life insurance

For a complete list of benefits provided by The State of Arizona, please visit our benefits page

Retirement:
  • Positions in this classification participate in the Arizona State Retirement System (ASRS).
  • Please note, enrollment eligibility will become effective after 27 weeks of employment.
Contact Us:
  • If you have any questions please feel free to contact Luis Bustamante at Luis.Bustamante@azdoa.gov or at 602.542.6186 for assistance.

ARIZONA MANAGEMENT SYSTEM (AMS)

All Arizona state employees operate within the Arizona Management System (AMS), an intentional, results-driven approach for doing the work of state government whereby every employee reflects on performance, reduces waste, and commits to continuous improvement with sustainable progress.  Through AMS, every state employee seeks to understand customer needs, identify problems, improve processes, and measure results.  
State employees are highly engaged, collaborative and embrace a culture of public service.

Arizona State Government is an AA/EOE/ADA Reasonable Accommodation Employer.