Address:  100 North 15th Avenue, Suite 165
Phoenix, Arizona 85007

Salary: $36,778.77 - $48,000.00 Annually 

Grade: 19

Closing Date: Open until Business Needs are Met

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, and Law Review as well as contracted 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.

This position may offer the ability to work remotely, within Arizona, based upon the department's business needs and continual meeting of expected performance measures.

The State of Arizona strives for a work culture that affords employees flexibility, autonomy, and trust. Across our many agencies, boards, and commissions, many State employees participate in the State’s Remote Work Program and are able to work remotely in their homes, in offices, and in hoteling spaces. All work, including remote work, should be performed within Arizona unless an exception is properly authorized in advance.

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 five-member Law Review Advisory Committee, all of which meet on a regular monthly basis except for the Law Review Advisory Committee who only meets as needed, 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 and Board 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.

Other Duties as Assigned

• Assist the Assistant Director of Regulation and Compliance with special assignments or projects as delegated to support the strategic direction of the Board’s operations.

• Process CPA and CPA Firm Cancelations.

• Process incoming mail and distribute to staff.

• Process returned mail.

• Handle miscellaneous tasks to support overall Board operations.

Knowledge of:

• Meeting preparation and coordination;
• Microsoft Office Suite, Google Workspace;
• Proper sentence structure and grammar;
• Adobe Acrobat DC.

Skills in:

• Problem solving;
• Written and oral communication;
• Research;
• Organization;
• Proofreading and being detail oriented;
• Personal computer operation;
• Coordinating activities and establishing priorities;
• Interpersonal.

Ability to:

• Plan, coordinate and establish priorities;
• Research and gather data;
• Cooperate and communicate with the public and other stakeholders professionally and positively;
• Coordinate meetings, including the preparation of materials, meeting minutes and follow through;
• Maintain an extremely high level of confidentiality;
• Work with a low-level of oversight;
• Use sound judgment.

• 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.

If this position requires driving or the use of a vehicle as an essential function of the job to conduct State business, then the following requirements apply: Driver’s License Requirements.

All newly hired State employees are subject to and must successfully complete the Electronic Employment Eligibility Verification Program (E-Verify).

The State of Arizona offers a comprehensive benefits package to include:
• Sick leave - 2.4 weeks per year
• Vacation - 4.2 weeks per year
•  Holidays - 10 paid holidays per year
• Paid Parental Leave-Up to 12 weeks per year paid leave for newborn or newly-placed foster/adopted child (pilot program).
• 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

By providing the option of a full-time or part-time remote work schedule, employees enjoy improved work/life balance, report higher job satisfaction, and are more productive. Remote work is a management option and not an employee entitlement or right. An agency may terminate a remote work agreement at its discretion.

Learn more about the Paid Parental Leave program here. For a complete list of benefits provided by The State of Arizona, please visit our benefits page

• Positions in this classification participate in the Arizona State Retirement System (ASRS)
• Please note, enrollment eligibility will become effective after 27 weeks of employment

If you have any questions please feel free to contact Rose Ibe at rose.ibe@azdoa.gov.