At a Glance
- Tasks: Conduct internal audits to ensure compliance and improve operational effectiveness.
- Company: Join a leading compliance team in a dynamic Derby office.
- Benefits: Enjoy competitive salary, bonuses, and 25 days holiday plus bank holidays.
- Other info: Great career development opportunities and a fun working environment.
- Why this job: Make a real impact by enhancing compliance and supporting regulatory standards.
- Qualifications: Knowledge of auditing standards and experience in regulated environments required.
The predicted salary is between 30000 - 40000 € per year.
The Auditor plays a pivotal role in providing assurance to the business on the performance and effectiveness of internal policies, controls, procedures, and systems. This position contributes to improving operations and compliance by applying a systematic and disciplined approach to monitoring activities. The role is critical in supporting the organisation to meet regulatory requirements and minimise the risk of legal action, penalties, or sanctions resulting from breaches of laws, regulations, industry standards, or internal policies. The Compliance Auditor will be part of the compliance team, reporting to the Head of Compliance, and will work Monday to Friday for 36.25 hours, with occasional travel to other offices.
Key Responsibilities
- Execute the internal audit programme in line with the Compliance Monitoring Plan.
- Maintain and continuously develop the Compliance Monitoring Plan to ensure monitoring activities remain effective and cover all internal policies and procedures.
- Develop and maintain the Internal Audit Procedure and supporting documentation.
- Coordinate internal audits in a timely manner, ensuring key stakeholders are informed of audit requirements in advance.
- Define audit scopes and objectives.
- Conduct internal audits to assess effectiveness and compliance with applicable requirements.
- Undertake file reviews and thematic reviews where required.
- Audit strategic and operational risk controls to confirm they are in place and operating effectively.
- Verify actions recorded in the Continual Improvement Register, ensuring they are appropriately documented, progressed, and closed in a timely manner across all departments.
- Review, analyse, and evaluate documentation and data.
- Make recommendations to strengthen internal controls and improve processes.
- Provide clear audit feedback on compliance levels, breaches, and areas for improvement.
- Support the implementation of continual improvement initiatives.
- Monitor remedial actions and interventions to ensure effective resolution.
- Prepare concise audit summary reports.
- Present audit findings to departments and senior management.
- Produce management information and reporting.
- Support client and external audits as required.
- Organise and maintain accurate audit records.
- Maintain up-to-date knowledge of relevant regulations, standards, best practices, tools, and techniques.
Skills, Knowledge and Expertise
- Proven knowledge of auditing standards and best practices.
- Experience working with a regulated environment.
- Knowledge of the SRA or FCA regulations is essential.
- Proficient in learning new systems.
- Competent user of Microsoft Office.
- Highly analytical with strong attention to detail.
- Excellent communication and interpersonal skills.
- Must have outstanding record keeping and written skills.
- Requisite integrity and discretion to work with confidential information.
- Sound independent judgement.
Benefits
- Competitive salary
- Bonus potential
- Life insurance
- Great working environment at our Derby head offices
- Career development opportunities
- 25 days holiday plus bank holidays
- Options to buy & sell 1 week’s holiday
- 1 week’s holiday carry over
- Extra day off for your birthday
- Staff card discount scheme for local shops
- Social days and evenings on the firm
- Staff discounts on legal services
Compliance Auditor employer: Flint Bishop
As a Compliance Auditor at our Derby head office, you will thrive in a supportive and dynamic work environment that prioritises employee growth and development. We offer competitive salaries, generous holiday allowances, and unique benefits such as a staff discount scheme and social events, ensuring a fulfilling work-life balance. Join us to play a crucial role in enhancing our compliance framework while enjoying a culture that values integrity, collaboration, and continuous improvement.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Auditor
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field, attend industry events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can refer you directly.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of auditing standards and regulations like SRA or FCA. We recommend practising common interview questions and having examples ready that showcase your analytical skills and attention to detail.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Check out our website for openings that suit your skills and interests, and tailor your approach to each role.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. Plus, it keeps you fresh in their minds as they make their decision.
We think you need these skills to ace Compliance Auditor
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Auditor role. Highlight your experience with auditing standards and any relevant regulations like SRA or FCA. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our team. Keep it concise but impactful – we love a good story!
Show Off Your Attention to Detail:As a Compliance Auditor, attention to detail is key. Make sure your application is free from typos and errors. We appreciate candidates who take the time to present their best work right from the start!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. Plus, it’s super easy!
How to prepare for a job interview at Flint Bishop
✨Know Your Regulations
Make sure you brush up on the SRA and FCA regulations before your interview. Being able to discuss these in detail will show that you understand the compliance landscape and are ready to tackle the challenges of the role.
✨Showcase Your Analytical Skills
Prepare examples from your past experiences where you've demonstrated strong analytical skills. Whether it’s conducting audits or evaluating compliance, having specific instances ready will help you illustrate your capabilities effectively.
✨Communicate Clearly
As a Compliance Auditor, you'll need to present findings to various stakeholders. Practice articulating complex information in a clear and concise manner. This will not only help during the interview but also in your future role.
✨Demonstrate Attention to Detail
Bring along examples of your record-keeping and documentation skills. Highlight how your attention to detail has led to successful audits or improvements in processes. This is crucial for the role and will set you apart from other candidates.
