Your Role
and What You'll Be Doing
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
1. Preparing and undertaking compliance assurance reviews, making sure these are aligned with the firm’s policies and procedures.
2. Assessing the compliance of case files with regulations and controls through thorough review of records, reports, operating practices, and documentation.
3. Preparing for and conducting compliance assurance meetings with senior managers of the business on a departmental basis.
4. Creating detailed written reports at departmental level summarising the outcomes, findings and recommendations.
5. 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.
6. Attending senior management meetings to present audit findings and recommendations when required by the business from time to time.
7. Recommending improvements to internal operational process and financial control structures as required.
8. Supporting the business in implementing process / control improvements as required.
9. Supporting the Compliance Assurance Senior Officer / Compliance Assurance Manager with external audits as required.
10. Building good relationships with internal clients, external auditors and internal colleagues.
11. 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.
12. 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).
About You
13. Practical experience of internal compliance auditing in a legal or financial services arena.
14. Strong report writing skills including statistical analysis.
15. A background in Auditing, either externally or internally.
16. Ability to build and manage positive relationships both within the General Counsel team, and across other functions.
17. Ability to work with a high degree of autonomy when required.
18. 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.
Our Benefits - What We Can Offer You
19. 25 days holidays as standard plus bank holidays - You can ‘buy’ up to 35hrs of extra holiday too.
20. Generous and flexible pension schemes.
21. Volunteering days – Two days of volunteering every year for a cause of your choice (fully paid)
22. Westfield Health membership, offering refunds on medical services alongside our Aviva Digital GP services.
We also offer a wide range of well-being initiatives to encourage positive mental health both in and out of the workplace and to make sure you’re fully supported. This includes our Flexible by Choice programme which gives our colleagues more choice over a hybrid way of working subject to role, team and client requirements.
We have been ranked in the Best Workplaces for Wellbeing for Large Organisations for 2024!
Our responsible business programmes are fundamental to who we are and our purpose. We’re committed to being a diverse and inclusive workplace where our colleagues can flourish, and we have established a number of inclusion network groups across our business to support this aim.
Our commitment to Social Responsibility, community investment activity and tackling climate change is a fundamental part of who we are. It’s made up of four strands: Our People, Our Community, Our Environment and Our Pro Bono.