The auditor communicates with clients, carriers, and internal teams primarily by telephone or email, uses available rating and audit reports to complete assigned work, and escalates complex issues in accordance with established procedures. In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.