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Why join us?

DWF is recruiting for a Compliance Auditor to join our Compliance & Audit team. The primary purpose of this role is to conduct independent, firm-wide compliance audits in line with agreed audit programmes. You will undertake audits and reviews to monitor and report on compliance with internal DWF policies and procedures, relevant regulatory requirements, and key Service Level Agreements.

This is an excellent opportunity for professionals already working in compliance and auditing who are looking to progress their career within a global law firm.

The role offers hybrid working based in our Manchester office.

Responsibilities

• Support the Risk and Excellence team in the completion of the firm-wide programme of compliance audits.
• Provide an independent appraisal of the effectiveness and compliance with certifications, DWF QMS and procedures, SLA’s and where appropriate, regulatory requirements.
• Where necessary, undertake file reviews against regulatory, internal and Client standards, and interview a sample number of the team being audited.
• Provide written reports detailing the findings and trends at specific audit levels, at team, practice area, division and firm-wide levels as appropriate.
• Run reports, analyse findings and review outputs; work with management to identify and implement solutions.
• Demonstrate in-depth understanding of Policies & Procedures to guide, lead and facilitate discussions and raise awareness across the business.
• Understand the risk/impact of any areas of non‑compliance identified, share best practice and present audit findings to relevant department heads and teams.
• Raise corrective actions where necessary, based on audit findings and set timescales for action.
• Monitor the implementation of actions, chase and escalate where necessary and according to timescales.
• Identify areas for improvement and make recommendations on improvements to DWF policies, procedures and systems as best practice is identified.
• Participate in the regular review of the DWF Compliance Audit Process.

What will help you succeed in this role?

Essential

• Experience of conducting independent compliance audits across a range of procedures, processes, regulatory standards and quality management systems in an objective manner.
• Excellent communication skills and a proven track record in building successful relationships with stakeholders.
• Ability to present compliance audit findings/areas for improvement to a range of stakeholders.
• Ability to facilitate and enable discussions to generate improvement activity ideas/solutions.
• Excellent accuracy skills with a keen eye for attention to detail.
• Typically expect around 2+ years' experience in a similar role.

Desirable

• Strong PC skills with an organised approach to document storage.
• Uses initiative and creativity in problem solving.
• 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.

What we offer?

We are committed to ensuring that each member of our team feels valued and duly rewarded during their time at DWF. We are an equal opportunities employer that celebrates diversity and we are committed to creating an inclusive environment for all. We aim to create a positive experience for all candidates and offer any adjustments or additional support needed. If you're excited about the opportunity but your experience doesn’t align perfectly with all the requirements, please apply anyway.

About Us

DWF is a global legal business providing Complex, Managed and Connected Services. We empower people to be themselves within an inclusive and supportive environment, enabling everyone to achieve their full potential in line with their abilities and career aspirations.

Seniority level

Entry level

Employment type

Full-time

Job function

• Finance and Sales

Industries

• Law Practice