Compliance Assurance Officer (5545)

Irwin Mitchell LLP; Sheffield, Manchester, Liverpool, London, Birmingham; Hybrid; GBP 30,000 - 45,000; Full time

Job summary

A national law firm is seeking a Compliance Assurance Officer to ensure regulatory compliance and conduct audits. You will be responsible for reviewing legal case files and preparing compliance assurance meetings. The ideal candidate has experience in compliance auditing and strong report writing skills. This position offers flexible working arrangements and generous benefits.

Benefits

25 days holidays plus bank holidays

Generous pension schemes

Two days of volunteering, fully paid

Qualifications

• Practical experience of internal compliance auditing in a legal or financial services arena.
• Strong report writing skills including statistical analysis.
• Ability to work with a high degree of autonomy when required.

Responsibilities

• Provide non-complex advice and resolution concerning regulatory obligations.
• Review samples of legal case files for compliance.
• Prepare and conduct compliance assurance meetings with senior managers.

Skills

Internal compliance auditing

Report writing

Building relationships

Job description

We’re a national law firm with a local reach. Our legal experts are here for you. Whether it’s personal or business, we understand that everyone’s situation is different. But we’re more than just a law firm – we’re a team of people working together to help individuals and businesses navigate life’s ups and downs. Working here you’ll feel a part of our friendly and inclusive environment.

We’ll value you for who you are and what you bring. We support each other and push boundaries to achieve incredible things and make a real difference to our clients and communities.

We're always looking to support our colleagues to work in a way that works best for them and everyone else, including our clients, the business and the regulators. Please speak to a member of our Recruitment and Onboarding team for more information.

Your Role and What You'll Be Doing

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 both process failure / 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 when required by the business from time to time.
• Recommending improvements to internal operational process and financial control structures as required.
• Supporting the business in implementing process / control improvements as required.
• Supporting the Compliance Assurance Senior Officer / Compliance Assurance Manager with external audits as required.
• Building good relationships with internal clients, external auditors and internal colleagues.
• Liaise on a regular basis with the Compliance Assurance Senior Officer to review work and any other matters relevant to the post holder’s position.
• Report to the Compliance Assurance Senior Officer immediately any identified risks, particularly those which may lead to a claim against the firm and/or a complaint from client(s).

About You

• Practical experience of internal compliance auditing in a legal or financial services arena.
• Strong report writing skills including statistical analysis.
• A background in Auditing, either externally or internally.
• Ability to build and manage positive relationships both within the General Counsel team, and across other functions.
• Ability to work with a high degree of autonomy when required.
• Ideally, you’ll have an understanding of ISO9001 principles and audit practices, but this isn’t essential.

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

Our Benefits - What We Can Offer You

• 25 days holidays as standard plus bank holidays - You can ‘buy’ up to 35hrs of extra holiday too.
• Generous and flexible pension schemes.
• Volunteering days – Two days of volunteering every year for a cause of your choice (fully paid)
• Westfield Health membership, offering refunds on medical services alongside our Aviva Digital GP services.

We also offer a wide range of well-being initiatives to encourage positive mental health both in and out of the workplace and to make sure you’re fully supported.This includes our Flexible by Choice programme which gives our colleagues more choice over a hybrid way of working subject to role, team and client requirements.

We have been ranked in the Best Workplaces for Wellbeing for Large Organisations for 2024!

Our responsible business programmes are fundamental to who we are and our purpose. We’re committed to being a diverse and inclusive workplace where our colleagues can flourish, and we have established a number of inclusion network groups across our business to support this aim.

Our commitment to Social Responsibility, community investment activity and tackling climate change is a fundamental part of who we are. It’s made up of four strands: Our People, Our Community, Our Environment and Our Pro Bono.

Additional Information

As part of the Irwin Mitchell Group’s on-boarding process all successful applicants are required to complete the group’s employment screening process. This process helps to ensure that all new employees meet our standards in relation to honesty and integrity therefore protecting the interests of the Group, colleagues, clients, partners and other stakeholders.

We carry out pre employment screening to establish your eligibility to work in the UK, criminal record and financial checks with our trusted 3rd parties.

The employment screening process will fully comply with Data Protection and other applicable laws.

Irwin Mitchell LLP is an equal opportunity employer.

We're proud of our values, and we're looking for people who share them

Birmingham, Flexible, Liverpool, London, Manchester, Sheffield

Create an alert subscription based on this vacancy