This role is on a Fixed Term contract on a 12-month basis. 

Working as a Compliance Assurance Officer, you’ll be responsible for providing non-complex advice and resolution to the business, ensuring that it is able to meet its regulatory and legal obligations. In this role, you’ll be reviewing samples of the firm’s legal case files, ensuring they’re managed in compliance with internal policy and procedure and regulatory requirements.

What You’ll Be Doing

• Preparing and undertaking compliance assurance reviews, making sure these are aligned with the firm’s policies and procedures.
• Assessing the compliance of case files with regulations and controls through thorough review of records, reports, operating practices, and documentation.
• Preparing for and conducting compliance assurance meetings with senior managers of the business on a departmental basis.
• Creating detailed written reports at departmental level summarising the outcomes, findings and recommendations.
• Raising corrective actions against both process failure / file conduct failure and liaising with case handlers and supervisors to close down any actions escalating where appropriate.
• Attending senior management meetings to present audit findings and recommendations when required by the business from time to time.
• Recommending improvements to internal operational process and financial control structures as required. 
• Supporting the business in implementing process / control improvements as required.
• Supporting the Compliance Assurance Senior Officer / Compliance Assurance Manager with external audits as required.
• Building good relationships with internal clients, external auditors and internal colleagues.
• Liaise on a regular basis with the Compliance Assurance Senior Officer to review work and any other matters relevant to the post holder’s position. 
• Report to the Compliance Assurance Senior Officer immediately any identified risks, particularly those which may lead to a claim against the firm and/or a complaint from clients

Essential Experience

• Experience of Irwin Mitchell’s internal systems
• Demonstrated ability to review information, records or documentation accurately and identify discrepancies, risks or areas requiring further investigation.
• Experience producing clear, accurate written reports, findings, recommendations or other professional documentation for colleagues, managers or stakeholders.
• Demonstrated ability to interpret and apply policies, procedures, standards or regulatory requirements within a professional environment.
• Ability to build and maintain effective working relationships with stakeholders at different levels, including communicating findings and recommendations constructively.
• Strong organisational skills with the ability to prioritise workloads, manage multiple tasks and meet deadlines while maintaining accuracy

Desirable Experience

• Experience working within a compliance, risk, governance, regulatory or quality assurance environment.
• Experience conducting audits, file reviews, quality checks, compliance monitoring or similar assurance activities.
• Experience using case management, matter management or other record management systems.
• Awareness of audit methodologies, quality management systems or ISO9001 principles.