Job Title: Compliance Auditor
Location: Leamington Spa
Salary: Competitive DOE
Our client is a well-established and respected Legal Firm in the local area looking to recruit a Compliance Manager to join their dynamic team. You will be responsible for compliance with regulatory FSA, CSA and SRA guidelines within the debt collection team in addition to assisting other teams to ensure firm wide compliance to wider regulations including; Solicitors Regulation Authority, Data Protection and Anti Money Laundering. The role will involve lots of client facing work; looking at the needs of the clients and handling any complaints. The aim of the role is to challenge and investigate internal issues in order to improve compliance and audit standards across the business. An excellent understanding and knowledge of Compliance is essential, in addition to strong experience within debt recovery. This role will suit a diligent and organised individual who is looking for longevity and stability within their next role.
- Ensuring that monthly compliance dashboard reports for the debt team and firm wide are clear and highlight areas of risk.
- Ensuring all information required by the Financial Conduct Authority is supplied within the set timescales and that Approved Persons are compliant with obligations set by the Financial Conduct Authority.
- Carry out monitoring of all policies with the debt team to ensure they are meeting quality standards.
- Calibrate calls for agents and make recommendations to address any areas of non-compliance.
- Ensuring client due diligence checks within the debt collection unit for anti-money laundering purposes are recorded and up to date.
- Maintaining the firmwide compliance plan and ensuring that targeted/themed audits re carried out in accordance with the plan.
- Assist the Head of Risk and Compliance in responding to firm wide compliance queries received into the team.
- Maintaining a data protection register for all breaches, request for information and requests to delete information and ensuring policies are data protection compliant.
- Reviewing training material within the debt team to ensure it is up to date and reflects regulatory changes or requirements set by clients.
- Ensuring that the impacts of legislative and regulatory changes are assessed and implemented.
Key Skills & Experience:
- Excellent knowledge of the FCA and SRA.
- Experience working within a law firm environment is highly advantageous.
- Strong people skills with client facing experience.
- Strong IT skills, in particular Microsoft Office - Excel and Word.
- Previous experience within a compliance, audit or quality environment is essential.
- Highly organised, systematic and the ability to prioritise own workload.
- Excellent attention to detail.
- A confident, positive, and proactive attitude is a must.
If you are interested in the above role then please apply with your CV or phone Joanna Middleton on for a private and confidential discussion.
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