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Auditing & Compliance Analyst

Company: Wolters Kluwer
Location: Saint Cloud
Posted on: June 4, 2021

Job Description:

Basic Function:

The Audit & Compliance Analyst for Wolters Kluwer (WK) Governance, Risk and Compliance (GRC) is responsible for supporting sales and operations efforts of the Compliance Services area. Through close collaboration with customers, Product Management, Sales, Sales Management, Customer Support, Legal Services, GBS, and Auditing and Compliance,, the Auditing & Compliance Analyst reviews, analyzes, edits, and compiles appropriate responses to requests for proposals (RFP), requests for quotes (RFQ), request for information (RFI), Questionnaires and requests for governance information, and SOC Audits. The Auditing & Compliance Analyst handles over 500 requests per year, ranging from one page to over 500 pages, with turn-around times averaging 6-10 days. Additionally, the Auditing & Compliance Analyst is responsible for coordination and administration of Onsite Visits and Audits as requested by customers and walkthroughs with auditors. Activities of the Auditing & Compliance Analyst include: developing and maintaining a thorough knowledge of Compliance Solutions products, services and WK response procedures; providing overall project management; managing the writing of responses to incoming requests; contributing subject matter expertise; participating in process improvement initiatives; maintaining performance standards; and representing Wolters Kluwer within the industry.

Essential Duties and Responsibilities:

  • Develops and maintains a thorough knowledge of Compliance Solutions products, services, and WK response procedures by engaging in formal training on products and end users; participating in self-directed learning; studying product, technical, or executive information provided; engaging in one-on-one training with Supervisor; accepting critical feedback and implementing suggestions; studying information provided by product management and marketing on an on-going basis in timely manner; working with actual products to establish and maintain competence in using them; learning how the products fit into customers' processes and contribute to their business performance; developing a continued understanding of corporate governance, policy, and procedures for handling sensitive information; and maintaining knowledge of current industry standards, methodologies, processes, and best practices.
  • Provides overall project management for incoming response requests by reviewing incoming Due Diligence and SOC audit requests; collaborating with Sales, Legal, Information Security, IT, Human Resources, Operations, Audit and Compliance, and other Subject Matter Experts to identify requirements; evaluating projects on consistency with CS's long term roadmap; designing project plans; communicating project needs to resources; overseeing the collection of information; directing and coordinating with resources; ensuring progress is meeting contract requirements and stakeholder needs; providing consistent coordinated communication throughout the project lifecycle; identifying potential risks endangering project milestones; evaluating escalated issues; completing projects in accordance with customer timelines, expectations, and organizational guidelines; and employing best practices throughout projects.
  • Manages the writing of responses to incoming requests by reviewing requests for preliminary feasibility (e.g., if products can support request); educating sales representatives on the request process, if needed; going back to sales representatives or managers with specific questions to clarify needs, as necessary; determining what resources (e.g., Legal, Human Resources, Development) to utilize to gather necessary information; collaborating with resources to acquire necessary responses; distributing questions to appropriate subject matter experts; researching database for responses where available; submitting non-published responses from the database to experts for verification; tracking incoming information and following up with experts to ensure timely responses; monitoring information as it comes in; compiling and editing information for consistency, style, customer needs, and corporate and industry standards; ensuring necessary information has been captured; noting any missing information and following up; reviewing responses to ensure documents are properly prepared; ensuring the highest accuracy and compliance; monitoring timing requirements; engaging additional resources to ensure issues are resolved in a timely manner, if necessary; submitting responses to customers; following up on customer issues (e.g., missing information, unsatisfactory responses); resubmitting responses to customers; and ensuring all conduct and responses comply with best practices and corporate policies.
  • Coordinates and provides due diligence support for Customer onsite visits and audits by assisting the sales organization in communication regarding schedule, coordination of subject matter experts, and providing follow-up support as needed.
  • Contributes subject matter expertise to ensure the success of projects and organizational objectives by developing response templates to be used cross-functionally; supporting the sales and audit teams by providing subject matter expertise to questions and issues around the response process; providing expertise to special projects; participating in thought provoking, strategic discussions with management; and facilitating communication across operational groups.
  • Participates in process improvement initiatives by analyzing current RFP/DD and SOC Audit process; offering recommendations for process improvements; working with the Supervisor to enhance the response process; and assisting in the implementation of new processes, tools and procedures to increase productivity, quality, and customer satisfaction.
  • Represents Wolters Kluwer by developing and maintaining comprehensive knowledge of Wolters Kluwer products, industry trends and general business and financial acumen through various sources and initiatives; communicating in a professional, compelling, and articulate manner of speech, writing and formal presentation; behaving in ways that demonstrate corporate core values and culture; developing professional and positive relationships with customers and colleagues; and maintaining a reputation of competence, integrity and professionalism.

Other Duties:

  • Proactively pursues professional development activities (e.g., attending seminars, reviewing professional publications, establishing personal networks).
  • Manages time and company resources appropriately.
  • Performs other duties as requested by Supervisor.

Job Qualifications:


Bachelor degree , specialized training, or equivalent experience.


Minimum: 3+ years in one or more of the following disciplines:

  • Deals Desk
  • RFP Management
  • Sales Operations Risk Management
  • Corporate Governance
  • Compliance
  • Auditing
  • Operations

Preferred Qualifications (Including Minimum):

  • Experience working in the software industry, Business Acumen, Exceptional Project Management skills, content or knowledge management skills
  • Experience with Salesforce
  • Experience with Qvidian

Skills, Abilities or Certifications:

  • Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)
  • Tools and process enabling remote connection to internal systems,
  • Knowledge of key due diligence documentation purposes such as: Standard Information Gathering (SIG) Questionnaires, Statement on Standards for Attestation Engagements (SSAE 16) and associated Service Organization Control Reports (SOC 1,2 and 3) preferred
  • Excellent interpersonal and communication skills both verbally and in writing.
  • Excellent customer service abilities
  • Excellent organizational skills

Travel Requirements:

  • Minimal travel, approximately 5% of work time
  • Onsite audits to CS office locations

Physical Demands

  • Normal office environment
  • Position involves use of a PC keyboard and viewing a PC monitor approximately 70% of work time on an intermittent basis
  • Position involves sitting at a desk approximately 80% of work time

The above statements are intended to describe the general nature and level of work being performed by most people assigned to this job. They re not intended to be an exhaustive list of all duties and responsibilities and requirements.

Keywords: Wolters Kluwer, Saint Cloud , Auditing & Compliance Analyst, Other , Saint Cloud, Minnesota

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