Demo
Compliance Auditor
Financial Services
Location: Cardiff (Hybrid) with travel to sites
Salary: To c.£45k benefits
Do you enjoy taking Compliance out of the office, meeting people face-to-face?
Are you looking for a Compliance/Audit role with plenty of autonomy and the opportunity to really make a difference?
Then this may well be for you.
You’ll be working for a leading specialist finance provider that is enjoying a period of sustained growth. The firm is ambitious, and the compliance department is expanding (as seen by the creation of this new role). And that means there will be good opportunities for you to progress your career.
You’ll be responsible for carrying out planned, scheduled audits of all relevant policies and other controls for the firm and its network of Appointed Representatives (ARs) and Introducer Appointed Representatives (IARS). You’ll provide written audit reports to the Board as well as periodic MI to the Head of Compliance.
You’ll also be responsible for devising and documenting an audit manual, audit schedules, audit coping documents, audit reports and other evidence of governance and compliance.
You will split your time between working from home, working from the Cardiff office and working on AR and IAR sites (with the occasional visit to the firm’s London head office). You’ll have full autonomy to manage your diary and to structure your visits as you see fit.
You’ll have gained some good Compliance Audit experience in the Financial Services arena and will have experience of audit governance, including the creation and maintenance of audit manuals. Excellent communication and stakeholder management skills are essential.
Interested?
Click apply.
Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at mark.wilson@willowresourcing.co.uk. We’ll pick it up from there.