Based in Chester (Remote/Field working North-West)
ACS Recruitment Solutions are working with a well-established Finance business that currently have the opportunity for a seasoned Audit Senior to join their team in the North-West. This firm is extremely busy and proving to grow year on year. This is an exciting opportunity for the successful candidate to construct the role into your own scope and build a team of paralegals to support your business plan.
Managing performance to achieve results against the planned Compliance Plan in the specified period.
Draft monitoring terms of reference, test scripts and resultant reports in relation to compliance activity.
Working with the business to ensure risks and controls are identified, validated, and documented within SharePoint; ensuring that any gaps are rectified in a timely manner and sufficient records are retained to demonstrate this.
To assist in the assessment of performance against business standards identifying mitigating actions as appropriate.
Ensure there is appropriate reporting, such that changes in our risk profile and/or deficiencies in our control environment are understood, actions identified and there is appropriate escalation when risks move outside of appetite.
Ensure that we have appropriate second line oversight of business practices/processes that are intended to ensure our operations are compliant at all levels.
Continuously assess and recommend changes to compliance policies where applicable.
Works with the Marketing department to oversee management and control of financial promotions and the approval process, act as a battery within the business to continuously promote controls.
Drive the shape, production and analysis of risk and conduct MI, ensuring that appropriate dialogue occurs in the business with mitigating actions as appropriate.
Provide weekly activity updates as per planned objectives/monitoring to the Head of Compliance.
Preparation of Monthly Compliance report and/or discussion papers for departments or Group committees as required.
Support the Head of Audit in the preparation of the annual compliance executive summary and the resultant risk-based compliance plan.Purpose of the role. The primary function is to identify regulatory risk as per our risk-based compliance monitoring plan. This will be achieved through management of the activities defined within the plan.
To assist the Head of Consumer in developing a strategic approach to Risk & Compliance.
To ensure that the business is effective in delivering appropriate advice, guidance, and challenge to the business in ensuring risks and regulatory requirements are met.
Working with the business to ensure that all regulatory, operational and conduct risks that impact the Departments are identified, assessed, and have appropriate controls that are appropriately monitored.
To provide effective and efficient Risk & Compliance support whilst facilitating a good working knowledge of regulatory risk requirements within the business, through strong communication and decisive remediations plans, as necessary.
To ensure that there is on-going assurance of and adherence to relevant Policies and Business Standards.
Key to the role is independency and objectivity. At the same time, the individual will serve as a strategic partner to the business in monitoring governance, risk management and the control environment.
Current and actively maintained knowledge of the regulatory environment
Working knowledge of the SRA handbook and account rules
Good knowledge of operations and processes
Skills – Microsoft Office package to an intermediate level
Professional Certification – Compliance or Risk Management Qualification preferredExperience:
Experience in management of case files in a law firm is essential
Previous experience of auditing or reviewing files is strongly preferred
Extensive experience in a Risk and Compliance field, preferably in consumer credit or litigation funding
Experience of managing projects, particularly in Risk & Compliance and governance preferredEssential:
Strong organisational skills and attention to detail
Strong written and oral communication skills
Initiative, proactivity, enquiring approach, resourcefulness
Adaptability, ability to embrace and respond positively to change
Analytical and investigative skills, logical reasoning, and problem-solving skills – individually and collaboratively
Ability to quickly learn and work with new processes and systems
Integrity and assertiveness when dealing with complex / business critical issues
Job Type: Permanent
To apply for this job please visit www.cv-library.co.uk.