Compliance Auditor

Pinsent Masons; Birmingham; Hybrid; GBP 80,000 - 100,000; Full time

Job summary

A reputable law firm in Birmingham seeks a Compliance Auditor to assess compliance with laws and internal policies. The role involves conducting audits, reporting findings, and recommending improvements. Candidates should have a Bachelor's degree, experience in compliance audits, and knowledge of relevant laws. Offered perks include private healthcare and annual leave flexibility.

Benefits

Carers' leave

25 days' annual leave

Contributory pension

Private healthcare

Death in service cover

Interest-free loans for transport and gym membership

Cycle to work scheme

Qualifications

• Experience conducting compliance audits, preferably in a professional services environment.
• Knowledge of relevant laws and regulations (e.g., AML, UK Bribery Act).

Responsibilities

• Plan, execute, and report on internal audits across all offices.
• Identify and evaluate non-compliance areas; recommend improvements.
• Communicate audit findings and recommendations to stakeholders.

Skills

Excellent written and verbal communication skills

Strong analytical, investigative and problem-solving abilities

High attention to detail and accuracy

Effective time management

Strong project management skills

Proficiency in audit tools and Microsoft Office Suite

Education

Bachelor's degree or equivalent experience

Professional audit or compliance qualification

Knowledge of ISO9001 quality management standard

Job description

Job Description

Job Title : Compliance Auditor

Department : General Counsel's Office

Location : Birmingham, Glasgow or Belfast

Type of Contract / Hours of work : Full time / Permanent

Purpose of the role

We are seeking a Compliance Auditor to join the Audit & Assurance function within our General Counsel's Office. The Audit & Assurance team :

• monitors the adequacy and operational effectiveness of our global regulatory compliance policies, procedures, and controls;
• leads responses to client-driven audits and supplier assurance processes;
• is responsible for the firm's quality management system and ISO9001 certification; and
• drives continuous improvement to stay ahead of client expectations and industry benchmarks.

The successful candidate will conduct audits and file reviews, assess risk, report findings to management and make recommendations to strengthen our compliance framework, helping to promote continuous improvement and efficiency in all Audit and Assurance team activities.

Key Responsibilities

• Plan, execute, and report on internal audits to assess compliance with applicable laws, regulations, and internal policies across all offices
• Conduct sampling to ensure compliance with client Outside Counsel Guidelines
• Conduct client file reviews to assess compliance with internal policies and procedures
• Identify and evaluate areas of non-compliance; recommend and support implementation of improvements to internal controls
• Clearly communicate the findings of audits, sampling and file reviews and recommend solutions and / or remedial action to management and other stakeholders
• Escalate significant issues to relevant senior stakeholders as appropriate
• Conduct follow up activities to ensure that recommendations are agreed, actioned and embedded into operational processes
• Support the team in responding to supplier assurance and due diligence questionnaires
• Assist the team in managing and responding to client-driven audits
• Assist the team in maintaining the firm's ISO9001 quality management certification
• Provide additional support to the Audit & Assurance (and wider GCO) team, as needed

We are looking for someone with the following experience & qualifications :

• Bachelor's degree or equivalent experience
• Experience conducting compliance audits, preferably in a professional services environment
• Knowledge of relevant laws and regulations (e.g., AML Regulations, UK Bribery Act, Criminal Finances Act, ECCTA)
• Professional audit or compliance qualification (desirable)
• Knowledge of ISO9001 quality management standard (desirable)

Skills and competencies

• Excellent written and verbal communication skills, with the ability to present complex information clearly
• Strong analytical, investigative and problem-solving abilities
• High attention to detail and accuracy
• Effective time management and ability to meet deadlines
• Adaptability and resilience under pressure
• Strong project management skills, including planning, execution, monitoring, and completion
• Ability to work independently and collaboratively across departments and levels
• High degree of confidentiality, integrity, and professionalism
• Proficiency in audit tools, compliance management systems, and Microsoft Office Suite
• Commitment to continuous improvement and to staying up to date with regulatory changes and industry standards / best practice

What can we offer you?

• Carers' leave (up to five paid days' leave towards caring responsibilities)
• 25 days' annual leave entitlement and the opportunity to purchase or roll over 5 days.
• Contributory pension of up to 5%.
• Private healthcare policy
• Death in service cover (4 x base salary).
• Eligibility to apply for an interest free season ticket loan, an interest free gym membership loan and / or an interest free rental deposit loan.
• Cycle to work scheme.

What happens next?

Once your application has been submitted and reviewed, our Recruitment team will share the outcome with you by email.

We typically hold two interview stages per vacancy providing the opportunity to meet two members of the hiring team at each stage. The first stage is typically conducted virtually and the second stage typically in person at the office in which the role would be based. However, we strive to remain flexible depending on the requirements of the role or the candidate.

Our strength lies in our differences.

We are a Disability Confident and top Stonewall employer, a Valuable 500 member, a founding member of the Mindful Business Charter, signatory of the Race at Work Charter and a proud partner of Neurodiversity in Law. We encourage and value different ideas and styles of thinking. It's with different perspectives that we'll find solutions to our clients' most complex challenges. It's how we'll deliver outstanding results today, and tomorrow. We want everybody attending an interview to be comfortable and able to fully demonstrate their experience and talents.

As an inclusive employer, we are willing to consider any flexible working requests.