TLT are looking for an internal auditor to join the internal audit team which is an autonomous function of the Risk and Compliance Team.
The internal auditor will be responsible for auditing internal processes and procedures to support the firm’s regulatory compliance in the flowing areas:
- Anti-Money Laundering and Financial Crime policies;
- FCA Handbook compliance;
- Data Privacy processes.
Responsibilities will include:
- Assisting in the identification and planning of audits.
- Planning own workload to meet agreed audit schedules and other work priorities
- Gaining a detailed understanding of the business sectors and support teams and build close working relationships with partners and staff at all levels
- Undertaking internal and third party audits according to pre-defined auditing processes and tools for; AML, FCA and DP related work. This will include auditing of client matters together with internal policies and procedures. Also other audit requirements across the firm such as those associated with ISO standards, team workload audits, governance audits, information security audits, quality audits and other regulatory audits as required.
- Identifying and recording any regulatory breaches and non-conformities to certification standards. Ensure reportable breaches are reported to the Risk Director.
- Producing audits reports and agreeing audit results with appropriate TLT partners/fee earners and dealing with any audit findings disputes
- Keeping the Risk Director appraised on progress of audits and any issues arising
- Following up on audit actions to completion where necessary
- Assisting and undertaking staff awareness training
- Making ongoing recommendations on improvements to the auditing processes
- Assisting in the coordination and planning the implementation of any other certification standards that TLT may feel appropriate to support/protect its business and to the benefit of its clients.
- Keeping abreast of developments in the Solicitors handbook including the Solicitors accounts rules and certification standards
- Keeping abreast of all current and emerging legal, regulatory, governance, auditing, accounting and financial reporting standards.
The Ideal Candidate
Our employees are talented people, distinguished by technical excellence, with a willingness to embrace team working and a passion for client service. You will be able to demonstrate a similar supportive, flexible and driven ethos and will have accumulated the following experience and skills:
- Results orientated with excellent verbal, written communication and interpersonal skills together with the ability to interact professionally with partners/directors, managers, staff at all levels and subject matter experts.
- Preferably a background in a law firm or other regulated profession and experience in an internal audit or governance role.
- Preferably experience of auditing against regulatory and governance controls and an understanding of the legal requirements that sit behind such controls.
- Preferably some experience of ISO certification standards and process.
- Have an excellent attention to detail and the ability to spot anomalies in process and data sets
- Ability to pick up new information up quickly and to assess information system processes, systems threats, vulnerabilities and risks.
- Open, honest and professional, able to keep information confidential and sets an example to others
- Understanding of the principals of risk assessment and management, including operational risk as well as compliance monitoring and reporting.
- Confident in the use of IT systems
TLT is committed to creating a diverse working environment and encourages applications from all suitably qualified people, regardless of any of the characteristics protected by the laws in the locations in which we operate. We welcome applications from people with disabilities and as a Disability Confident Employer, we are committed to providing reasonable adjustments, where necessary, to make interviews and jobs more accessible. Should you have any difficulty during the recruitment process, require any reasonable adjustments or an application to Access to work please contact the recruitment team on HR-Recruitment@TLTsolicitors.com
We value our employees highly and we want you to feel valued. You will receive a competitive basic salary with an annual pay review. You will also have access to an extensive range of benefits via our flexible benefits scheme including 25 days holiday (which will increase to 30 days based upon length of service) and private medical insurance.