Internal Audit Manager
3 weeks ago
An opportunity has arisen for an Internal Audit Manager to join the In-House Legal function of a global law firm, in London with hybrid working.
The role will lead and manage the Internal Audit function, which operates as the third line of defence to monitor the design adequacy and operational effectiveness of the Firm's Anti-Money Laundering and Counter-Terrorist Financing ("AML/CTF") controls,conflicts of interest, client engagement controls and corporate governance.
**Key Responsibilities**
- Lead the Internal Audit function
- Supervise the work of the Internal Auditors and be a first point of contact for their queries.
- Work with the Senior In-House Counsel to develop and implement new methodologies for auditing conflicts of interest, client engagement procedures and corporate governance structures, including audit documentation with clear terms of reference, working papersand reports.
- Lead on internal audits, testing the design and operational effectiveness of the Firm's conflicts of interest and client engagement controls.
- Oversee internal audits conducted by the internal auditors, testing the design adequacy and operational effectiveness of the Firm's AML/CTF/APF controls.
- Maintain robust internal audit methodology including audit documentation with clear terms of reference, working papers and reports.
- Escalate findings of the audits to Risk and Compliance and Senior Management, with recommendations to remediate and agree actions.
- Oversee the system to monitor and track the agreed remedial actions, ensuring any control gaps are remediated in a timely manner.
- Conduct on an ongoing basis, a sample of file reviews of matters opened across all offices. The Internal Auditor will be responsible for testing compliance with the firms policies and regulatory requirements.
- Report findings of the file reviews to Risk and Compliance Management and the Chief Risk & Compliance Officer
- Provide recommendations on improvements to the Firm's policies and procedures and deliver training to remediate any gaps.
**Knowledge and Experience**
- Graduate with experience in an international compliance function role with a focus on AML and other financial crime; preferably in a law firm environment or alternatively in the financial services sector
- Previous experience in the third line of defence desirable, but not required
- Knowledge of sanctions regimes, PEPs and other high-risk categories; understanding of complex corporate structures and SPV's.
This role is with a great law firm and team, based in London on a hybrid basis.
If you are interested in finding out more, please contact Rowena Bubb of Lewis Row Recruitment.
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