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Compliance Specialist

  • 507908
  • PHOENIX
  • BOARD OF ACCOUNTANCY
  • Full-time

ARIZONA STATE BOARD OF ACCOUNTANCY

The primary duty of the Arizona State Board of Accountancy is to protect the public
from unlawful, incompetent, unqualified or unprofessional certified public accountants
through certification, regulation and rehabilitation.

Compliance Specialist

Job Location:

100 North 15th Avenue, Suite 165

Phoenix, Arizona 85007  

Posting Details:

Annual Salary Range: $33,435 - $45,000 

Grade: 19

This position will remain open until filled

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

• 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

• 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, all of which meet on a regular monthly basis, pursuant to A.R.S. § 38-431, and contract investigators

• Review documents for distribution to the Board/Committees to ensure completeness of the investigative record and anticipate Board/Committee support needs

• 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

• Review, approve, and write summaries of agenda matters for Board and Committee members

• Ensure proper written notification (notice and agenda) of meetings

Compliance

• Coordinate and facilitate communication with members of the public, complainants, registrants, attorneys, investigators and Board and Committee members regarding status of compliance files

• 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

• Track and monitor the progression of cases through investigation and discipline

• Draft simple orders and complaint notice of hearings (CNOH)

File and Records Management

• 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

• 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

Knowledge, Skills & Abilities (KSAs):

Knowledge of:

• American Institute of Certified Public Accountants (AICPA) professional code of conduct

• Public record retention and public record requests

• Office of Administrative Hearings procedures

• Proper sentence structure and grammar

• Meeting preparation and coordination

• Complaint policies and procedures

• Ex parte communication law

• Board statutes and rules

• Microsoft Office Suite

• Records management

• Adobe Acrobat DC

• Open meeting law

Skills in:

• Coordinating activities and establishing priorities

• Excellent written and oral communication

• Proofreading and detail oriented

• Personal computer operation

• Problem solving

• Organizational

• Interpersonal

• Research

Ability to:

• 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 in an environment with changing priorities

• Plan, coordinate and establish priorities

• Work with a low-level of oversight

• Research and gather data

• 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

Pre-Employment Requirements:

• Employees who drive on state business are subject to driver’s license record checks, must maintain acceptable driving records and must complete any required driver training (see Arizona Administrative Code R2-10-207.12.)

• Requires possession of and ability to retain a current, valid state-issued driver’s license appropriate to the assignment

Benefits:

The State of Arizona offers a comprehensive benefits package to include:

• Optional employee benefits include short-term disability insurance, deferred compensation plans, and supplemental life insurance

• Life insurance and long-term disability insurance

• Vacation with 10 paid holidays per year

• Health and dental insurance

• Retirement plan

• Sick leave

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 Shawn McConnell at shawn.mcconnell@azdoa.gov 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.

The State of Arizona is an Equal Employment Opportunity Employer.