Auditor Compliance Specialist

13 hours ago


Cardiff, Cardiff, United Kingdom Willow Resourcing Full time
Compliance Audit Role

We are seeking a skilled Compliance Audit professional to join our team at Willow Resourcing. As a Compliance Auditor, you will play a crucial role in ensuring our firm's compliance with regulatory requirements and industry standards.

Key Responsibilities:

  • Carry out planned and scheduled audits of all relevant policies and controls for the firm and its network of Appointed Representatives (ARs) and Introducer Appointed Representatives (IARS).
  • Provide written audit reports to the Board and periodic management information to the Head of Compliance.
  • Develop and document an audit manual, audit schedules, audit coping documents, and other evidence of governance and compliance.

About the Role:

This is a hybrid working role, with a split between working from home, the Cardiff office, and visiting AR and IAR sites. You will have the opportunity to work with a leading specialist finance provider that is enjoying a period of sustained growth.

Requirements:

  • Experience in Compliance Audit in the Financial Services arena.
  • Knowledge of audit governance, including the creation and maintenance of audit manuals.

What We Offer:

As a Compliance Auditor at Willow Resourcing, you will have the opportunity to work in a dynamic and expanding compliance department, with good opportunities for career progression.



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