Internal Auditor

2 months ago

Bristol, United Kingdom TLT Full time

TLT are looking for an Internal Auditor to join the internal audit team which is an autonomous function of the Risk and Compliance Team based in Bristol or London

The internal auditor will be responsible for auditing internal processes and procedures to support the firm’s regulatory compliance in the flowing areas:

- Anti-Money Laundering policies;
- FCA Handbook compliance;
- Data Privacy processes
- SRA Standards and Regulation

**Your Role**:
Responsibilities will include:

- Assisting in the identification and planning of audits.
- Reviewing the risk register and incident log to identify areas that require further attention from internal audit.
- Planning own workload to meet agreed audit schedules and other work priorities
- Gaining a detailed understanding of the business sectors and support teams and build close working relationships with partners and staff at all levels
- Undertaking internal and third-party audits according to pre-defined auditing processes and tools for; AML, FCA, SRA and DPA related work. This will include auditing of client matters together with internal policies and procedures. Also other audit requirements across the firm such as those associated with ISO standards, team workload audits, governance audits, information security audits, quality audits and other regulatory audits as required.
- Identifying and recording any regulatory breaches and non-conformities to certification standards. Ensure reportable breaches are reported to the Risk Director.
- Producing audits reports and agreeing audit results with appropriate TLT partners/fee earners and dealing with any audit findings disputes
- Keeping the Risk Director appraised on progress of audits and any issues arising
- Following up on audit actions to completion where necessary
- Assisting and undertaking staff awareness training
- Making ongoing recommendations on improvements to the auditing processes
- Assisting in the coordination and planning the implementation of any other certification standards that TLT may feel appropriate to support/protect its business and to the benefit of its clients.
- Keeping abreast of developments in the Solicitors handbook including the Solicitors accounts rules and certification standards
- Keeping abreast of all current and emerging legal, regulatory, governance, auditing, accounting and financial reporting standards.

**Your Skills and Experience**:
Key experience required:

- Experience of undertaking internal and third party audits covering regulatory governance and controls preferably in a law firm or other regulated business such as a bank or financial services company.
- An ability to understand the requirements of the business and produce/review/monitor compliance with processes and systems.
- An ability to assess information, systems and processes against the requirements of key regulators such as the SRA, FCA, SRA and ICO.
- An ability to understand key regulatory concepts such as the AML and financial hygiene and the internal firm policies which reflect these.
- An ability to write effective audit reports and deliver presentations on audit findings making recommendations to improve the efficiency and effectiveness of TLT's internal regulatory controls.
- Communicate effectively and fluently with partners, managers and staff, including the ability to explain complex technical issues in terms that non-technical partners, managers and staff will understand.
- Preferably a background in a law firm or other regulated profession and experience in an internal audit or governance role.
- Preferably experience of auditing against regulatory and governance controls and an understanding of the legal requirements that sit behind such controls.
- Have an excellent attention to detail and the ability to spot anomalies in process and data sets
- Have a risk based and pragmatic mindset with the ability to see risk within the wider organisational context.
- Ability to pick up new information up quickly and to assess information system processes, systems threats, vulnerabilities and risks.
- Open, honest and professional, able to keep information confidential and sets an example to others
- Understanding of the principals of risk assessment and management, including operational risk as well as compliance monitoring and reporting.
- Confident in the use of IT systems

**Your Team**:
TLT is known for the way we set new expectations and push the boundaries, but this can never compromise our firm, reputation or clients. The Risk team are there to make sure we are compliant with all our obligations in areas such as Data Protection, SRA and FCA regulation as well as protecting our clients and people. The Risk team includes both experienced lawyers and technical specialists who address an extensive range of regulatory and ethical requirements, thinking both commercially and practically to make sure we remain compliant and true to our values.

**About TLT**:
Fast paced, fast growing and forward think

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