Compliance Expert Advisor

1 day ago


Manchester, United Kingdom DWF Full time

DWF, a leading global provider of integrated legal and business services, is seeking an experienced Compliance Expert Advisor to join their team. This role involves conducting independent firm-wide compliance audits in line with agreed compliance audit programmes.

About the Role

The successful candidate will be responsible for monitoring and reporting on compliance to internal DWF policies & procedures, relevant regulatory requirements, and key Service Level Agreements. This role requires a hybrid working arrangement, with the potential for office attendance of 1 day per month.

Main Responsibilities
  • To support the Risk and Excellence team in completing the firm-wide programme of compliance audits.
  • To provide an independent appraisal of the effectiveness and compliance with certifications, DWF QMS, and procedures, SLAs, and where appropriate, regulatory requirements.
  • To undertake file reviews against regulatory, internal, and client standards and interview a sample number of the team being audited.
  • To provide written reports detailing findings and trends at specific audit level, team, practice area, division, and firm-wide level as appropriate.
  • In-depth understanding of policies and procedures 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 audit findings and agree actions with the relevant department head and teams.
  • To raise corrective actions where necessary based on audit findings and identification of timescales for action to be taken.
  • To monitor implementation of actions, chase, and escalate where necessary and according to timescales.
  • To identify areas for improvement and make recommendations on improvements to DWF policies, procedures, and systems as best practice is identified.
What Will Help You Succeed in this Role?

Essential Requirements:

  1. Experience of conducting independent compliance audits across a range of procedures, processes, regulatory standards, and quality management systems in an objective manner.
  2. Excellent communication skills and a proven track record in building successful relationships with stakeholders.
  3. Ability to present compliance audit findings/areas for improvement to a range of stakeholders.
  4. 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.

Estimated Salary Range: £50,000 - £70,000 per annum depending on experience.



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