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 policies;
- FCA Handbook compliance;
- Data Privacy processes
- SRA Standards and Regulation
In return we will invest in you. We want you to be successful. You will receive a bespoke, on-going training programme to ensure you develop your commercial and technical skills to allow you to deliver the varied workload to a high standard. As a member of our Support team you will be a vital part of our continued success. There isn't an "us and them" mentality and you will be recognised for your hard work and support.
- Assisting in the identification and planning of audits, planning own workload to meet agreed audit schedules and priorities.
- Undertaking internal and third-party audits according to pre-defined auditing processes and tools for; AML, FCA, SRA and DPA 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 and identify areas that require further attention from internal audit.
- Producing audits reports and agreeing audit results with appropriate TLT partners/fee earners and dealing with any audit findings disputes.
- Making ongoing recommendations on improvements to the auditing process, following up on audit actions and assisting and undertaking staff awareness training.
- 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 all current and emerging legal, regulatory, governance, auditing, accounting and financial reporting standards and developments in the Solicitors handbook.
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:
- Experience of undertaking internal and third party audits covering regulatory governance and controls preferably in a law firm or other regulated business such as a bank or financial services company.
- An ability to understand the requirements of the business and produce/review/monitor compliance with processes and systems.
- An ability to assess information, systems and processes against the requirements of key regulators such as the SRA, FCA, SRA and ICO.
- An ability to understand key regulatory concepts such as the AML and financial hygiene and the internal firm policies which reflect these.
- An ability to write effective audit reports and deliver presentations on audit findings making recommendations to improve the efficiency and effectiveness of TLT's internal regulatory controls.
- Communicate effectively and fluently with partners, managers and staff, including the ability to explain complex technical issues in terms that non-technical partners, managers and staff will understand.
- Have an excellent attention to detail and the ability to spot anomalies in process and data sets.
- Have a risk based and pragmatic mindset with the ability to see risk within the wider organisational context.
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.
About the Firm
We’re an ambitious UK law firm built around the needs of our high profile clients. With over 1000 employees and 100 partners across our six UK offices, we’ve grown considerably in the last three years – and so have our revenues. Open-minded? Definitively. Forward-focused? Absolutely. An energetic firm with an entrepreneurial, collaborative culture, we’re always looking to recruit highly talented individuals with the drive to succeed. So if you’re dynamic, determined and looking for a firm where you can develop your skills, join us and we’ll give you everything you need to thrive.