[Hiring] California Field Compliance Auditor @Andy Frain Services

Role Description

Independently assess California compliance, with potential expansion to other jurisdictions. Monitor, audit, investigate, document, and support California wage-and-hour remediation. The Auditor owns exceptions through investigation, documented determination, corrective-action referral, tracking, and confirmed closure. Coordinate with Compliance, Legal, HR, Payroll, Systems, and Operations to prevent employee harm, penalties, regulatory action, and litigation. Provide independent oversight and recommendations; Operations retains break administration, employee management, training, and discipline.

Responsibilities/Duties

• Master the California Compliance Process Roadmap and applicable wage-and-hour requirements.
• Monitor California Labor Code, DLSE guidance, IWC Wage Orders, local minimum wages, and regulatory and judicial developments.
• Periodically review policies, procedures, controls, forms, waivers, training, and operations for continued compliance.
• Coordinate across functions to implement regulatory, policy, process, and system changes.
• Support onboarding, manager guidance, and refresher training addressing findings and requirement changes.

Compliance Auditing and Exception Management

• Audit nonexempt time records daily and weekly for missed, late, short, interrupted, or otherwise noncompliant meals and rest breaks.
• Prioritize and investigate alerts, acknowledgments, findings, and reported break, timekeeping, scheduling, payroll, or related wage-and-hour exceptions.
• Determine root causes from punches, schedules, records, systems, policies, waivers, and operating conditions.
• Validate records and resolve discrepancies with employees, management, Payroll, and relevant stakeholders; document findings.
• Distinguish violations from recording or system errors, valid waivers, and other nonviolations.
• Validate waivers, on-duty agreements, employee qualifications, assignment requirements, and site conditions before determining violations.
• Verify required one-hour meal and rest premiums per qualifying workday under law and Company procedures.
• Verify regular-rate premiums include required nondiscretionary bonuses, commissions, differentials, and other qualifying compensation.
• Coordinate accurate, documented premiums, wage adjustments, and corrections with Payroll and Operations by payroll deadlines.
• Regularly audit wage-statement accuracy and completeness under Labor Code Section 226.
• Audit timely, complete final pay for involuntary terminations and voluntary resignations.
• Audit job postings, recruiting and hiring practices, records, and disclosures for pay-transparency, Fair Chance Act, and antidiscrimination compliance.

Investigation Documentation and Case Closure

• Record each alert, evidence, contacts, findings, determination, premium disposition, referral, corrective action, and closure electronically.
• Track cases to resolution; verify payroll, system, policy, training, and operational follow-up.
• Maintain audit trails of case reviews, investigations, determinations, and resolution.
• Follow up and escalate overdue or unresolved cases to responsible leaders.
• Apply consistent investigation, documentation, escalation, and closure standards statewide.

Violation Tracking and Escalation

• Log exceptions, confirmed violations, corrective actions, recurring concerns, and case status.
• Analyze patterns by employee, supervisor, manager, department, location, schedule, shift, system, and practice.
• Escalate recurring substantiated issues and material trends for management coaching, retraining, process correction, or disciplinary review.
• Provide evidence and findings for management decisions.
• Report objectively; preserve independence from Operations’ performance management and discipline.

Site Visits & Field Audits

• Conduct scheduled, periodic, and ad hoc field audits of timekeeping, breaks, staffing, scheduling, and related practices.
• Compare field practices with schedules, time records, procedures, waivers, and manager accounts.
• Verify current, visible, accessible IWC Wage Orders, minimum-wage, sick-leave, whistleblower, and other required postings at each location.
• Assess compliant break-facility access and barriers from staffing, workload, assignments, relief, or schedules.
• Interview employees and management about break practices, discrepancies, and operational barriers.
• Immediately advise management on correcting scheduling, relief, timekeeping, or break-facility gaps.
• Document observations, evidence, findings, management responses, and corrective actions.
• Verify field corrections are completed and remain effective.

Reporting & Process Improvement

• Provide clear, actionable compliance reports to executives and relevant stakeholders.
• Report significant facility, timekeeping, scheduling, staffing, payroll, control, and operational risks.
• Help managers resolve recurring timekeeping, scheduling, break, and premium-pay issues through structural changes.
• Recommend improvements to policies, procedures, systems, forms, reports, training, staffing, and operations.
• Coordinate third-party audits, collect and review requested records, document findings, and verify completed remediation.
• Preserve audit trails, investigations, reports, and evidence for internal reviews, regulatory inquiries, state audits, claims, and litigation.
• Evaluate corrective measures and report repeat-violation reductions and compliance improvements.

Role Accountability and Responsibility Boundaries

The Auditor is responsible for:

• Detecting and reviewing exceptions.
• Investigating facts and root causes.
• Validating waivers, qualifications, records, and site requirements.
• Documenting findings and determinations.
• Coordinating Payroll and operational referrals.
• Tracking corrective actions.
• Verifying and documenting closure.
• Reporting recurring issues and material risks.

Operations remains responsible for:

• Creating compliant schedules.
• Providing required meals and rest breaks.
• Maintaining staffing and relief coverage.
• Coaching and training employees.
• Managing employee performance.
• Determining and administering discipline and employment actions.
• Payroll processes approved premiums, wage adjustments, and corrections using documented, authorized information.

Qualifications

• Three years’ related payroll, compliance, audit, or HR experience, including two years focused substantially on California nonexempt payroll, wage-and-hour compliance, or auditing.
• Relevant degree preferred in accounting, finance, HR, business, computer science, or compliance; equivalent experience considered.
• Expert knowledge of California Labor Code, DLSE guidance, IWC Wage Orders, and wage-and-hour case law.
• Experience investigating timekeeping, scheduling, payroll, break, wage-statement, and final-pay exceptions.
• Advanced automated timekeeping, scheduling, payroll, case-management, or compliance-system skills.
• Advanced Excel: lookups, PivotTables, filtering, reconciliation, trends, and exception reports.
• Analyze and reconcile complex records, investigate objectively, document findings, and reach supported conclusions.
• Strong writing, communication, sensitive interviewing, and management-coaching skills.
• Sound judgment, confidentiality, deadline management, and appropriate escalation.
• Exceptional attention to detail and accuracy.
• Willingness and ability to travel up to 25% to California sites.
• Work independently and coordinate across Compliance, Legal, HR, Payroll, Systems, and Operations.

General Disclaimer

This description summarizes the role. Andy Frain Services may revise responsibilities and assign other duties at its discretion.