Compliance Auditor




Department: Compliance




Employment Type: Permanent




Location: Leeds




Description



We are seeking an enthusiastic and analytical Auditor to join our Compliance team and play a key role in strengthening risk management, regulatory compliance and operational excellence across the firm.



Reporting to the Compliance Manager (Monitoring Lead), the role provides independent assurance that the firm's policies, procedures, controls and systems are operating effectively and delivering the intended outcomes. Working across a wide range of business areas, you will conduct monitoring and assurance activities, identify opportunities for improvement, and provide valuable insights that help the firm manage risk, enhance compliance and drive continual improvement.



This is an excellent opportunity for someone who enjoys understanding how organisations operate, investigating issues, analysing trends and working collaboratively with stakeholders to improve processes and controls. The role offers broad exposure to the firm's operations and plays an important part in supporting a strong culture of compliance, accountability and high performance.



This is a full-time position based in our Leeds office. Standard working hours are 9:00am to 5:00pm, Monday to Friday. We offer a hybrid working arrangement, providing flexibility to work both from the office and remotely, subject to business and operational requirements. Occasional travel to other office locations may be required.




Key Responsibilities

• Support the Compliance Manager (Monitoring Lead) in the delivery of the internal audit programme in accordance with the Compliance Monitoring Plan.


• Coordinate internal audits, ensuring relevant stakeholders are informed of audit requirements and timescales.


• Defining audit scopes and testing plans for review and approval by the Compliance Manager.


• Conduct internal audits, file reviews and thematic reviews to assess compliance with regulatory, contractual and internal requirements.


• Review strategic, risk, and operational controls to assess whether they have been implemented and are operating as intended.


• Analyse documentation, management information and other evidence to evaluate compliance and control effectiveness.


• Prepare clear, accurate and concise audit reports, including findings, observations and recommendations for review and sign-off by the Compliance Manager.


• Provide practical recommendations to strengthen controls, improve compliance and enhance operational effectiveness.


• Escalate significant findings, overdue actions, control weaknesses, breaches and emerging risks to the Compliance Manager where appropriate.


• Monitor and verify actions recorded within the Corrective Actions Register, ensuring agreed actions are appropriately documented, progressed and evidenced before closure.


• Follow up on agreed remedial actions and report on implementation progress and outstanding actions.


• Present audit findings and recommendations to audit stakeholders as required.


• Produce management information, trend analysis and audit reporting to support compliance monitoring activities.


• Support client, regulatory and external audits as required.


• Maintain accurate, complete and auditable records of monitoring and audit activities.


• Maintain up-to-date knowledge of relevant regulations, standards, industry best practice, audit techniques and compliance requirements.


• Support the ongoing development and improvement of the compliance monitoring and internal audit framework.

Skills, Knowledge and Expertise

• Previous experience in an audit, compliance, risk or assurance role, with the ability to conduct reviews, evaluate controls, identify risks, prepare reports and monitor the implementation of corrective actions.


• Previous experience within a legal, professional services or similarly regulated environment is preferred.


• Ability to quickly learn and adapt to new systems.


• Proficient in Microsoft Office applications.


• Highly analytical with strong attention to detail.


• Excellent communication and interpersonal skills.


• Strong written skills with a high standard of record-keeping.


• Demonstrates integrity and discretion when handling confidential information.


• Sound independent judgement and decision-making ability.

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