Dealership Compliance Auditor

The Dealership Compliance Auditor position assists the Compliance Director in 1) promoting a culture of compliance through monitoring and reporting on compliance opportunities within the dealerships; 2) ensuring team members are in compliance with the rules and regulations of regulatory agencies, lenders, manufacturers and other key partners, as well as key Company policies and procedures; 3) promoting the Company’s Code of Business Conduct and Ethics and mission to be the most guest-centric automotive retailer; 4) supporting the Company’s compliance training, forms and processes; and 4) and finding ways to improve business operations efficiencies, protect assets and promote an exceptional guest experience.

Duties/Responsibilities

• Ensure all necessary actions are taken to ensure achievement of the objectives of an effective compliance program, with the guidance of the Compliance Director.
• Perform dealership audits, including variable compliance audits, resale certificate audits, loaner vehicle audits, DMV licensing assurance, accounting office audits, warranty compliance audits, records security and retention, lot walks to assess compliance opportunities, etc.
• Support other Internal Audit functions on an as-needed basis, including:
• Assist with audits of third parties and investigations as assigned.
• Document and evaluate the design and effectiveness of key controls supporting management’s opinion of internal controls over financial reporting at both the corporate and dealership levels.
• Perform SOX testing, assist the Company’s External Auditor with the vehicle inventory and parts inventory observation processes.
• Maintain policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical or improper conduct.
• Oversee day-to-day operation of the Compliance Program with direct involvement from the Compliance Director.
• Collaborate with other departments (e.g., Finance, Sales, Accounting, etc.) to assign compliance issues to appropriate existing channels for proper investigation and resolution.
• Consult with the Compliance Director as needed to resolve difficult legal compliance issues.
• Conduct a monthly evaluation of dealerships to ensure that compliance issues/concerns within the stores are being appropriately evaluated, investigated and resolved.
• Coordinate an on-going in-store compliance training system and provide guidance to management personnel within the stores as needed, especially with new-hires.
• Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues.
• Conduct monthly ISP Information Security Policy tests and quarterly Risk-Assessments.
• Provide reports on a regular basis, and as directed or requested, to keep the Compliance Director informed of the operation and progress of compliance efforts.
• Monitor and report completion of the online compliance training as required.
• Exercise discretionary judgement through:
• Analysis-comprehends issues, draws conclusions and makes sound judgements within a time sensitive manner.
• Creativity- Suggests or applies new ways of addressing ongoing compliance issues and challenges.
• Decision Quality- strong analytical, research and problem-solving skills to make independent decisions.
• Evaluate new technologies- Identifies the need for new technology, thoroughly assesses features, risks and benefits.
• Meet with the Compliance Director on a quarterly basis to discuss progress, audit results and the overall effectiveness of the compliance program.
• Maintain ability to handle job stress and effective interaction with others in the workplace.
• Maintain regular attendance based upon schedule provided by supervisor.
• Perform all other duties as requested by management.
• Up to 15% travel

Education & Experience

• Undergraduate degree in accounting, finance or business-oriented field or equivalent experience in consumer financial services, dealership accounting or a compliance function
• Working knowledge of Outlook and Microsoft Office applications. Familiarity with automotive industry applications such as CDK, Tekion, Dealertrack, RouteOne, Keyper, eLead and Dealersocket a plus.
• Good organizational and multi-tasking skills; detail oriented.
• Administration and Management – Desirable. Knowledge of business and management principles involved in strategic planning resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources

Pay and Recognition: 

• Weekly pay
• Paid holidays & paid time off 
• Deferred Holiday Pay Match 
• Paid training 
• Stock Awards (select management and front-line team member’s eligible)

Insurance / Retirement: 

• Insurance: medical, vision, dental, accident, critical illness and hospital indemnity plans 
• Up to 12 weeks paid pregnancy leave (disability leave) 
• Paid Parental Leave 
• Health savings 
• Flex spending accounts (tax free) 
• Short-term and Long-term disability plans 
• Life Insurance (Whole Life and Term) 
• 401k with company match

Learning, Tuition Assistance and Career Development: 

• Digital career path tool to assist with career development 
• Continuous training through Asbury's Internal Learning Management System 

Professional growth and development opportunities Additional advantages: 

• Student loan relief resources 
• Employee assistance program 
• Employee discounts on parts and service repairs 
• Scholarship awards 
• Opportunities to join our community service initiatives, which includes paid volunteer hours 
• Aggressive Employee referral program with bonus opportunities

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