Risk Auditor
4 weeks ago
About us
Compliance Auditor
As a Compliance (Risk) Auditor, you will play a pivotal role in conducting independent firm-wide compliance audits, ensuring alignment with agreed compliance audit programmes. Your responsibilities will include monitoring and reporting compliance to internal DWF policies & procedures, relevant regulatory requirements, and key Service Level Agreements. Additionally, you will facilitate discussions to enable improvement activities, liaise with various divisions and management teams, and ensure the delivery of messages professionally and effectively to all involved teams.
Main Duties:
Support the Risk and Excellence team in completing the firm-wide programme of compliance audits. Provide an independent appraisal of effectiveness and compliance with certifications, DWF QMS, procedures, SLAs, and regulatory requirements. Conduct file reviews against regulatory internal and client standards, and interview team members as necessary. Produce written reports detailing findings and trends at specific audit levels. Collaborate with management to identify and implement solutions based on audit findings. Assist in preparing for ISO visits, including logistics and gap analysis. Develop and share best practices through training modules, workshops, and one-on-one sessions across the business. Demonstrate in-depth understanding of policies & procedures to guide and lead discussions, raising awareness across the organization. Identify and share best practices regarding risks and impacts of non-compliance. Present audit findings and agree on actions with relevant department heads and teams. Raise corrective actions as necessary, defining timescales for action. Monitor implementation of actions, escalating as needed and ensuring compliance with timescales. Facilitate discussions with stakeholders to enable improvement activities and identify implementation timescales. Make recommendations on improvements to DWF policies, procedures, and systems. Participate in the regular review of the DWF Compliance Audit Process. Undertake additional activities or projects to enhance the efficiency and effectiveness of the Risk and Excellence Team.At DWF, we deeply appreciate the significance of offering a comprehensive rewards package that extends beyond a basic salary. Our commitment is to ensure that each member of our team not only feels valued but is also duly rewarded throughout their tenure with us. Upon joining our organisation, you will have the opportunity to select from a diverse array of benefits, allowing you to carefully tailor a package that perfectly aligns with your individual needs and those of your family. In addition to our standard benefits, we offer a wide range of flexible benefits and robust well-being programs.
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