Compliance Auditor

Recruit 4 Talent
31 Mar 2018
13 May 2018
Contract Type
Full Time
An enthusiastic, experienced Compliance Auditor is sought by one of the Midlands` largest law firms. The firm has been providing advice to their business and individual clients for nearly two centuries across a diverse range of sectors.

The Role:

As a Compliance Auditor you will support the implementation and maintenance of the firm`s risk management policy with specific oversight of the firm`s debt recovery team to ensure the unit is compliant with Financial Conduct Authority, Ofcom, CSA and other regulatory requirements.

Your key responsibilities will include:

- Conducting internal audits to provide assurance to the Approved Persons that the debt recovery team are compliant with regulatory codes and legislative guidance set by the FCA, CSA, Ofcom, and FOS
- Ensuring that our Quality Assurance checks, and controls within the debt collection unit are effective and that any weaknesses are reported, identified and addressed
- Review of policies and procedures and training within the debt collection team to ensure they are up to date and compliant with FCA, Ofcom and other regulatory requirements and are consistent with firm wide policies;
- Reporting and liaising with the debt unit to respond to queries raised by the FCA and completing applications for approved persons;
- Delivering and providing training to Approved Persons and the Compliance team to ensure the Approved Persons and the team are kept informed of regulatory and policy changes that will have an impact on debt collection
- Contribute to projects to support regulatory changes, within the firm such as the General Data Protection regulations and providing guidance on compliance
- Assisting the Head of Risk and Compliance to maintain the firm`s risk register and devise and implement a firm wide risk based monitoring plan in line with the firm`s risk register
- Working with the Head of Risk and Compliance to conduct firm wide thematic audits to address areas of high risk and provide clear and concise management reports.
- Respond to requests for information under the Data Protection Act and requests to delete information
- Performing due diligence on new and existing suppliers, and undertaking onsite and remote audits.

The successful Compliance Auditor will demonstrate:

- Previous experience of debt recovery/collection
- Strong working knowledge and experience of FCA regulations
- Good report writing skills
- Good level of English
- Previous experience of compliance audit is an advantage
- Previous compliance experience within a professional practice e.g. accounting or solicitors firm would be highly beneficial

Applicants will be required to complete a credit and DBS check.

Benefits Package:

- £30,000 - £35,000 salary
- 22 days holiday, rising to 25 with length of service
- Company backed pension scheme
- Performance bonus scheme
- Healthcare scheme
- Training and development
- Childcare vouchers
- On-site café
- Active social committee
- Free on-site parking
- Working hours 9am - 5.30pm Monday to Friday

Compliance Auditor

Leamington Spa, Warwickshire

£30,000 - £35,000 + benefits

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