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How do I Become a Compliance Auditor?

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  • Written By: N. Madison
  • Edited By: Jenn Walker
  • Last Modified Date: 10 December 2016
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A compliance auditor has the job of auditing businesses to make sure they are in compliance with established standards, policies, and procedures. A person with this job may seek to ensure compliance not only with the regulations the company has created, but also those established by the government. Typically, a person who wants to become a compliance auditor earns a degree in a related subject, such as accounting or finance. Some employers may also prefer job candidates who have experience in accounting or a financial field. A person interested in this career may also seek training in the specific industry in which he plans to work.

Depending on where he works, a compliance auditor may work independently or perform his duties as part of a team. In this job, he usually reviews records to ensure that a company or department is operating according to acceptable standards, company policies, and applicable laws. When an individual in this field learns that a company or department is out of compliance, he may make recommendations for fixing the problem. He may also monitor the changes that are made in order to become compliant. A person in this field is also responsible for recording his findings, whether they are positive or negative.

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An individual who wants to become a compliance auditor typically has to complete high school and earn a bachelor’s degree in a finance or accounting major. While master’s degrees may not be required, a person interested in this career may pursue one in order to give himself more job opportunities and better chances for advancement. Additionally, a person who is pursing a career in this field may need experience in a financial field or in area in which he plans to work. For example, a person hoping to work in the environmental resource management field may do well to gain experience with environmental regulations and requirements.

Besides education and experience, a person who wants to become a compliance auditor typically needs certain qualities in order to be a good fit for this job. For example, a person interested in this career is usually expected to work well independently. He is also expected to be honest and capable of performing objective reviews. A person who wants to become a compliance auditor usually needs good verbal and written communication skills as well as a willingness to keep private information confidential. An individual in this field is also expected to be both detail oriented and organized.

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