Compliance Assurance Officer

Irwin Mitchell; London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading legal firm in London is seeking a Compliance Assurance Officer to ensure regulatory compliance by reviewing legal case files and conducting compliance assurance meetings. The ideal candidate will have practical experience in internal auditing, strong report writing skills, and the ability to build positive relationships. This role offers flexible working options and generous benefits including 25 days of holiday.

Benefits

25 days holidays plus bank holidays

Generous and flexible pension schemes

Two paid volunteering days annually

Westfield Health membership

Well-being initiatives and flexible working options

Qualifications

• Practical experience in internal compliance auditing within legal or financial services.
• Strong report writing skills, including statistical analysis.
• Ability to work independently when required.

Responsibilities

• Preparing and undertaking compliance assurance reviews.
• Assessing compliance of case files with regulations.
• Creating detailed written reports summarizing outcomes.

Skills

Internal compliance auditing

Report writing

Building relationships

Statistical analysis

Job description

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Compliance Assurance Officer

Working as a Compliance Assurance Officer, you’ll be responsible for providing non-complex advice and resolution to the business, ensuring that it is able to meet its regulatory and legal obligations. In this role, you’ll be reviewing samples of the firm’s legal case files, ensuring they’re managed in compliance with internal policy and procedure and regulatory requirements.

What You’ll Be Doing

• Preparing and undertaking compliance assurance reviews, making sure these are aligned with the firm’s policies and procedures.
• Assessing the compliance of case files with regulations and controls through thorough review of records, reports, operating practices, and documentation.
• Preparing for and conducting compliance assurance meetings with senior managers of the business on a departmental basis.
• Creating detailed written reports at departmental level summarising the outcomes, findings and recommendations.
• Raising corrective actions against process failure or file conduct failure and liaising with case handlers and supervisors to close down any actions, escalating where appropriate.
• Attending senior management meetings to present audit findings and recommendations as required.
• Recommending improvements to internal operational processes and financial control structures.
• Supporting the business in implementing process and control improvements.
• Supporting external audits in collaboration with the Compliance Assurance Senior Officer / Manager.
• Building good relationships with internal clients, external auditors, and colleagues.
• Liaising regularly with the Compliance Assurance Senior Officer to review work and relevant matters.
• Reporting any identified risks immediately, especially those that may lead to claims or complaints.

About You

• Practical experience in internal compliance auditing within legal or financial services.
• Strong report writing skills, including statistical analysis.
• Background in auditing, either externally or internally.
• Ability to build and manage positive relationships across teams.
• Ability to work independently when required.
• Understanding of ISO9001 principles and audit practices is a plus.

If this sounds like you, we’d love to receive your application.

Our Benefits

• 25 days holidays plus bank holidays; option to buy up to 35 hours of extra holiday.
• Generous and flexible pension schemes.
• Two paid volunteering days annually.
• Westfield Health membership including refunds on medical services.
• Well-being initiatives and flexible working options.

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