Compliance Assurance Officer
- Recruiter
- Irwin Mitchell
- Location
- Sheffield, Yorkshire, United Kingdom, United Kingdom
- Salary
- Competitive salary
- Posted
- 06 Dec 2021
- Closes
- 05 Jan 2022
- Ref
- 2283
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
We're a national law firm with a local reach. Our philosophy is 'Expert Hand, Human Touch' - something you'll find in the way we work with our clients and how we support our teams. But, we're more than just a law firm - we're a team, working together to help individuals and businesses navigate life's ups and downs.
Whichever team you join, working here you'll feel a part of our friendly and inclusive environment. We'll value you for who you are and what you bring. We support each other and push boundaries to achieve incredible things, and make a real difference to our clients and communities.
The work we do has been recognised in the awards we've won. We're committed to being even better, and our awards help to show we're on the right track.
We recognise that the office 9-5 isn't for everyone. That's why we've introduced 'Flexible by Choice'. Whether it's working from home, in our offices, or a combination of the both, we trust each other to support our clients, colleagues and communities at the right time, in the right way.
Your Role
Working as a Compliance Assurance Officer, you'll be responsible for providing non-complex advice and resolution to the business, ensuring that it is able to meet its regulatory and legal obligations. In this role, you'll be reviewing samples of the firm's legal case files, ensuring they're managed in compliance with internal policy and procedure and regulatory requirements.
What You'll Be Doing
What We're Looking For
If this sounds like you, we'd love to receive your application.
What we can offer you
We also offer a huge number of well-being initiatives to encourage positive mental health both in and out of the workplace as well as flexible working options to ensure that you are fully supported to work the way that best suits you. Our social responsibility programme is fundamental to who we are. We're committed to being a diverse and inclusive workplace where our colleagues can flourish. We have a range of groups to celebrate our people across sexuality, disability, age, gender and culture.
We welcome applications from all diversity groups and backgrounds. We're committed to enabling everyone to thrive and understanding and celebrating our differences is a key part of that. We're proud of our work on the Disability Confident scheme, on the Race At Work Charter and as Stonewall Diversity Champions. We also have a range of networks for LGBT+, disability, generations, gender, social mobility, ethnicity, faith and culture to celebrate our people and to enable everyone to thrive.
Additional Information
As part of the Irwin Mitchell Group's on-boarding process all successful applicants are required to complete the group's employment screening process. This process helps to ensure that all new employees meet our standards in relation to honesty and integrity therefore protecting the interests of the Group, existing employees, clients, partners and other stakeholders.
Depending on the role you apply for we may carry out checks that will establish your eligibility to work in the UK, and criminal record check and financial checks with a credit reference agency will also be undertaken.
The employment screening process will fully comply with Data Protection and other applicable laws.
Irwin Mitchell LLP is an equal opportunity employer.
Whichever team you join, working here you'll feel a part of our friendly and inclusive environment. We'll value you for who you are and what you bring. We support each other and push boundaries to achieve incredible things, and make a real difference to our clients and communities.
The work we do has been recognised in the awards we've won. We're committed to being even better, and our awards help to show we're on the right track.
We recognise that the office 9-5 isn't for everyone. That's why we've introduced 'Flexible by Choice'. Whether it's working from home, in our offices, or a combination of the both, we trust each other to support our clients, colleagues and communities at the right time, in the right way.
Your Role
Working as a Compliance Assurance Officer, you'll be responsible for providing non-complex advice and resolution to the business, ensuring that it is able to meet its regulatory and legal obligations. In this role, you'll be reviewing samples of the firm's legal case files, ensuring they're managed in compliance with internal policy and procedure and regulatory requirements.
What You'll Be Doing
- Preparing and undertaking compliance assurance reviews, making sure these are aligned with the firm's policies and procedures.
- Assessing the compliance of case files with regulations and controls through thorough review of records, reports, operating practices, and documentation.
- Preparing for and conducting compliance assurance meetings with senior managers of the business on a departmental basis.
- Creating detailed written reports at departmental level summarising the outcomes, findings and recommendations.
- Raising corrective actions against both process failure / file conduct failure and liaising with case handlers and supervisors to close down any actions escalating where appropriate.
- Attending senior management meetings to present audit findings and recommendations when required by the business from time to time.
- Recommending improvements to internal operational process and financial control structures as required.
- Supporting the business in implementing process / control improvements as required.
- Supporting the Compliance Assurance Senior Officer / Compliance Assurance Manager with external audits as required.
- Building good relationships with internal clients, external auditors and internal colleagues.
- Liaise on a regular basis with the Compliance Assurance Senior Officer to review work and any other matters relevant to the post holder's position.
- Report to the Compliance Assurance Senior Officer immediately any identified risks, particularly those which may lead to a claim against the firm and/or a complaint from client(s).
What We're Looking For
- Practical experience of internal compliance auditing in a legal or financial services arena.
- Strong report writing skills including statistical analysis.
- A background in Auditing, either externally or internally.
- Ability to build and manage positive relationships both within the General Counsel team, and across other functions.
- Ability to work with a high degree of autonomy when required.
- Ideally, you'll have an understanding of ISO9001 principles and audit practices, but this isn't essential.
If this sounds like you, we'd love to receive your application.
What we can offer you
- 25 days annual leave, with the opportunity to buy additional leave
- Two fundraising days in a year to give back to the community (fully paid!)
- Westfield Health membership, offering discounted leisure and travel and refunds on medical services
We also offer a huge number of well-being initiatives to encourage positive mental health both in and out of the workplace as well as flexible working options to ensure that you are fully supported to work the way that best suits you. Our social responsibility programme is fundamental to who we are. We're committed to being a diverse and inclusive workplace where our colleagues can flourish. We have a range of groups to celebrate our people across sexuality, disability, age, gender and culture.
We welcome applications from all diversity groups and backgrounds. We're committed to enabling everyone to thrive and understanding and celebrating our differences is a key part of that. We're proud of our work on the Disability Confident scheme, on the Race At Work Charter and as Stonewall Diversity Champions. We also have a range of networks for LGBT+, disability, generations, gender, social mobility, ethnicity, faith and culture to celebrate our people and to enable everyone to thrive.
Additional Information
As part of the Irwin Mitchell Group's on-boarding process all successful applicants are required to complete the group's employment screening process. This process helps to ensure that all new employees meet our standards in relation to honesty and integrity therefore protecting the interests of the Group, existing employees, clients, partners and other stakeholders.
Depending on the role you apply for we may carry out checks that will establish your eligibility to work in the UK, and criminal record check and financial checks with a credit reference agency will also be undertaken.
The employment screening process will fully comply with Data Protection and other applicable laws.
Irwin Mitchell LLP is an equal opportunity employer.
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