Compliance Auditor

DWF; Manchester; Hybrid; GBP 40,000 - 50,000; Full time

Job summary

A global legal business is seeking a Compliance Auditor to join their team in Manchester. This role involves conducting independent compliance audits, monitoring adherence to internal policies and regulatory requirements, and building stakeholder relationships. Candidates should have at least 2 years of experience in compliance auditing and excellent communication skills. This position offers a hybrid working arrangement.

Benefits

Inclusive work environment

Support for diverse candidates

Qualifications

• 2+ years of experience in a compliance auditing role.
• Experience conducting independent compliance audits.
• Strong PC skills for document management.

Responsibilities

• Conduct firm-wide compliance audits as per audit programmes.
• Provide independent appraisals on compliance effectiveness.
• Draft detailed written reports on audit findings.
• Monitor corrective actions based on audit findings.
• Facilitate discussions to promote improvement.

Skills

Compliance audits

Excellent communication skills

Stakeholder relationship building

Attention to detail

Tools

Quality management systems

Job description

Why join us?

DWF is recruiting for a Compliance Auditor to join our Compliance & Audit team.

The primary purpose of this role is to conduct independent, firm-wide compliance audits in line with agreed audit programmes.

You will undertake audits and reviews to monitor and report on compliance with internal DWF policies and procedures, relevant regulatory requirements, and key Service Level Agreements.

This is an excellent opportunity for professionals already working in compliance and auditing who are looking to progress their career within a global law firm.

The role offers hybrid working based in our Manchester office.

Responsibilities

• To support the Risk and Excellence team in the completion of the firm-wide programme of compliance audits
• To provide an independent appraisal of the effectiveness and compliance with certifications, DWF QMS and procedures, SLA's and where appropriate, regulatory requirements.
• Where necessary, undertake file reviews against regulatory, internal and Client standards, and interview a sample number of the team being audited.
• To provide written reports detailing the findings and trends at specific audit levels, at team, practice area, division and firm-wide levels as appropriate.
• Running reports/ analysing findings reviewing outputs working with management to identify and implement solutions.
• In-depth understanding on Policies & Procedures to be able to guide, lead and facilitate discussions and raise awareness across the business.
• Understanding of the risk /impact of any areas of non-compliance identified, and sharing best practice. To present the audit findings and agree on actions with the relevant department head and teams.
• To raise corrective actions where necessary, based on the audit findings and identification of timescales for action to be taken.
• To monitor the implementation of actions, to chase and elevate where necessary and according to timescales.
• To identify areas for improvement and to make recommendations on improvements to DWF policies, procedures and systems as best practice is identified.
• To participate in the regular review of the DWF Compliance Audit Process.

What will help you succeed in this role?

Essential

• Experience of conducting independent compliance audits across a range of procedures, processes, regulatory standards and quality management systems in an objective manner.
• Excellent communication skills and a proven track record in building successful relationships with stakeholders.
• Ability to present compliance audit findings/areas for improvement to a range of stakeholders
• Ability to facilitate and enable discussions to generate improvement activity ideas/solutions
• Excellent accuracy skills with a keen eye for attention to detail.
• We would typically expect around 2+ years' experience in a similar role.

Desirable

• Strong PC skills with an organised approach to document storage.
• Uses initiative and creativity in problem solving.
• Previous experience of working within a legal or otherwise regulated environment and good working knowledge of the Law and/or insurance industry and associated processes or procedures.

What we offer?

We are committed to ensuring that each member of our team feels valued and duly rewarded during their time at DWF. We are an equal opportunities employer that celebrates diversity and we are committed to creating an inclusive environment for all. We aim to create a positive experience for all candidates and offer any adjustments or additional support needed. If you're excited about the opportunity but your experience doesn't align perfectly with all the requirements, please apply anyway. You may be the right candidate for the role or others across the wider team.

About us

DWF is a global legal business providing Complex, Managed and Connected Services. We empower people to be themselves within an inclusive and supportive environment, enabling everyone to achieve their full potential in line with their abilities and career aspirations.

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