Compliance Officer/Auditor

Location: Royal Leamington Spa
Job Type: Permanent
Salary: Competitive
Reference: J11219
Due to business growth, gap Professional are recruiting a Compliance Officer/Auditor to join our well-established client on a full time, permanent basis based in Leamington Spa.


This role is working Monday - Friday between 8am - 6pm on a rota basis and offers a very competitive salary.


You will be supporting the implementation and maintenance of the firm's risk management policy ensuring the firm is compliant with the SRA, FCA, anti-money laundering regulations, Data Protection legislation and other regulatory requirements.


The ideal candidate will have experience in a compliance, audit or quality environment, experience within the Legal sector would be advantageous.


Key responsibilities of this role include, but are not limited to:

• Conducting internal audits to provide assurance that the firm is compliant with regulatory codes and legislative guidance set by the regulatory bodies
• Review and ensure that QA checks are effective and that any issues are identified, reported and addressed
• Ensure all policies, procedures and training to ensure they are compliant and current
• Proactively respond to queries raised by the FCA
• Deliver training to the all departments within the business
• Participate in project work to changes implemented by regulatory bodies
• Maintain the firms risk register and implement a monitoring plan by assisting the Head of Risk and Compliance
• Working with the Compliance Manager to conduct firm wide thematic audits to address areas of high risk and provide clear and concise management reports.
• Ensure any incidents are properly investigated and that proper records are maintained
• Actively respond to complaints that are received within timescales
• Respond to requests for information under the Data Protection Act and requests to delete information.
• Carrying out checks on new business loads including conflict checks on new matters (up to 500) against the firm's data base.
• Updating training material working with the compliance team to deliver training in a way which minimises time away from work
• Undertaking onsite and remote audits and performing due diligence on new and existing suppliers
• Periodic reviews of all standard contact methods


The ideal candidate will be:

• Experienced in a compliance, audit or quality environment, experience within the Legal sector would be advantageous
• People focused with the ability to build strong working relationships
• Can work well under pressure whilst ensuring they have a strong attention to detail
• Will be results orientated and client centric


This is an excellent opportunity to join a growing business who values their employees. There are fantastic employee benefits which include:


• 22 days' holiday (plus bank holidays), increasing with length of service
• Training and development
• Free onsite parking and onsite café
• Regular staff social events
• Firm wide performance bonus scheme


For more information on this role, please contact Lauren in the Leamington Spa office.


This vacancy is advertised on behalf of gap personnel group (Quattro Recruitment Ltd & Quattro Healthcare Ltd) who operate as an Employment Business. gap personnel group is an Equal Opportunities Employer.

The gap personnel group are committed to the selection, recruitment and development of the best people, basing judgements solely on suitability for the job.  Whilst we endeavour to respond to all applications individually, due to high volumes, this is not always possible. Thank you for your interest in this role and we look forward to working with you in the future.

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personal data to us you understand that your data will be processed in line with our Privacy Policy. To
view our full Privacy Policy please go to: https://bit.ly/2GAtG1R


The gap personnel group are committed to the selection, recruitment and development of the best people, basing judgements solely on suitability for the job. Whilst we endeavour to respond to all applications individually, due to high volumes, this is not always possible. Thank you for your interest in this role and we look forward to working with you in the future.
By applying for the above position and providing your personal data to us you understand that your data will be processed in line with our Privacy Policy. To view our full Privacy Policy please click here.