Compliance Auditor

Why join us?:

DWF are recruiting for a Compliance Auditor to join their team. The main function of the role is to conduct independent firm wide compliance audits in line with agreed compliance audit programmes. Undertaking audits and reviews to monitor and report upon compliance to internal DWF policies & procedures, relevant regulatory requirements and key Service Level Agreements.

This role is both a 12 month FTC and a hybrid working role with the potential of office attendance of 1 day per month.

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 level, at team, practice area, division and firm wide level 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 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 implementation of actions, to chase and escalate 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? :

• 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 2-3 years' experience in a similar role.

• 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.

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 leading global provider of integrated legal and business services. Our approach delivers efficiency, price certainty and transparency for our clients across the world without compromising on quality or service. Our purpose is to deliver positive outcomes with our colleagues, clients and communities and we foster a culture that places our colleagues at the centre of all that we do.