Compliance Auditor
Department:
Compliance
Employment Type:
Permanent - Full Time
Location:
Derby, UK
Description
We are looking for a Compliance Auditor to add value and improve our operations by bringing a systematic and disciplined approach to auditing the effectiveness of our internal policies, controls, procedures, and systems.
Internal audits are a fundamental aspect of our monitoring activities and are vital in helping the company to achieve compliance and to avoid legal action, penalties, and/or sanctions for breaches of laws, regulations, industry standards, and internal policies and procedures.
The Compliance Auditor is primarily responsible for executing our internal monitoring programme. The role will include arranging audits, drafting audit scopes, carrying out internal audits, preparing summary reports, advising on the adequacy and effectiveness of our internal policies, controls, and procedures (PCP's), making recommendations on how to improve the company's infrastructure regarding internal controls and operations, and providing assurance that any required remedial measures have been fully embedded.
The Compliance Auditor will be part of the compliance team and report to the Head of Compliance. This role is based in our Derby office, Monday to Friday 36.25 hours, and travel to our other offices may be required, occasionally.
Key Responsibilities
Executing an internal audit programme in accordance with the Compliance Monitoring Plan. Maintenance and development of the Compliance Monitoring Plan to ensure our monitoring activities are adequate and cover all internal policies and procedures. Review and update of the Internal Audit Procedure and associated documents. Coordinating audits in a timely manner and with notice. Determining internal audit scopes. Carrying out internal audits to provide assurances on the effectiveness and compliance with all applicable parameters. Carrying out file reviews and thematic reviews, as needed. Verifying, analysing, and evaluating documentation and data. Making recommendations to improve or strengthen internal controls. Providing audit feedback on compliance levels, any breaches, and improvements, Supporting with the implementation of continual improvement activities. Monitoring remedial measures and interventions and continual improvement actions. Preparing audit summary reports and to present findings to departments and/or management. Preparing management information. Assisting with client audits and other external audits. Developing our systems to improve efficiency and management information. Skills, Knowledge and Expertise
Proven knowledge of auditing standards and best practices. Experience working with a regulated environment. Knowledge of the SRA or FCA regulations is essential. At least 3 years experience in a similar role. Proficient in learning new systems. Competent user of Microsoft Office. Highly analytical with strong attention to detail. Excellent communication and interpersonal skills. Must have outstanding record keeping and written skills. Requisite integrity and discretion to work with confidential information. Sound independent judgement. Disclosure will be required in the event that a position is offered.
Benefits
What we offer?
Competitive salary Bonus potential Life insurance Great working environment at our Derby head offices Career development opportunities 25 days holiday plus bank holidays Options to buy & sell 1 week's holiday 1 week's holiday carry over Extra day off for your birthday Staff card discount scheme for local shops Social days and evenings on the firm Staff discounts on legal services
#J-18808-Ljbffr
Department:
Compliance
Employment Type:
Permanent - Full Time
Location:
Derby, UK
Description
We are looking for a Compliance Auditor to add value and improve our operations by bringing a systematic and disciplined approach to auditing the effectiveness of our internal policies, controls, procedures, and systems.
Internal audits are a fundamental aspect of our monitoring activities and are vital in helping the company to achieve compliance and to avoid legal action, penalties, and/or sanctions for breaches of laws, regulations, industry standards, and internal policies and procedures.
The Compliance Auditor is primarily responsible for executing our internal monitoring programme. The role will include arranging audits, drafting audit scopes, carrying out internal audits, preparing summary reports, advising on the adequacy and effectiveness of our internal policies, controls, and procedures (PCP's), making recommendations on how to improve the company's infrastructure regarding internal controls and operations, and providing assurance that any required remedial measures have been fully embedded.
The Compliance Auditor will be part of the compliance team and report to the Head of Compliance. This role is based in our Derby office, Monday to Friday 36.25 hours, and travel to our other offices may be required, occasionally.
Key Responsibilities
Executing an internal audit programme in accordance with the Compliance Monitoring Plan. Maintenance and development of the Compliance Monitoring Plan to ensure our monitoring activities are adequate and cover all internal policies and procedures. Review and update of the Internal Audit Procedure and associated documents. Coordinating audits in a timely manner and with notice. Determining internal audit scopes. Carrying out internal audits to provide assurances on the effectiveness and compliance with all applicable parameters. Carrying out file reviews and thematic reviews, as needed. Verifying, analysing, and evaluating documentation and data. Making recommendations to improve or strengthen internal controls. Providing audit feedback on compliance levels, any breaches, and improvements, Supporting with the implementation of continual improvement activities. Monitoring remedial measures and interventions and continual improvement actions. Preparing audit summary reports and to present findings to departments and/or management. Preparing management information. Assisting with client audits and other external audits. Developing our systems to improve efficiency and management information. Skills, Knowledge and Expertise
Proven knowledge of auditing standards and best practices. Experience working with a regulated environment. Knowledge of the SRA or FCA regulations is essential. At least 3 years experience in a similar role. Proficient in learning new systems. Competent user of Microsoft Office. Highly analytical with strong attention to detail. Excellent communication and interpersonal skills. Must have outstanding record keeping and written skills. Requisite integrity and discretion to work with confidential information. Sound independent judgement. Disclosure will be required in the event that a position is offered.
Benefits
What we offer?
Competitive salary Bonus potential Life insurance Great working environment at our Derby head offices Career development opportunities 25 days holiday plus bank holidays Options to buy & sell 1 week's holiday 1 week's holiday carry over Extra day off for your birthday Staff card discount scheme for local shops Social days and evenings on the firm Staff discounts on legal services
#J-18808-Ljbffr
