Audit and Compliance Lead

2 days ago


Manchester, United Kingdom DWF Full time

Are you an experienced professional looking for a new challenge? Do you have a passion for compliance and risk management? If so, we would like to hear from you. As a leading global provider of integrated legal and business services, DWF is seeking an Risk Management Specialist to join their team.

About the Role

The successful candidate will be responsible for conducting independent firm-wide compliance audits in line with agreed compliance audit programmes. 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.
Requirements

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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