Compliance & Internal Audit Specialist

Salary Description:
Competitive
Location Description:
Amersham, Birmingham, Cheltenham, Glasgow, Leeds, Liverpool & London
Job Role:
Pensions Administrator, Pensions Technician, Pensions Accountant / Financial Officer
Employment Type:
Full-time
Contract Type:
Permanent
Application Deadline:
Unspecified
Posted:
3rd May 2022
Recruiter:
Barnett Waddingham
Job Ref:

Overview

We are proud to be a leading independent UK consultancy at the forefront of risk, pensions, investment and insurance.

The Governance department supports the overall Governance of the Business whilst also supporting the more traditional Compliance matters of the business such as ensuring that the regulations set by the Regulated Body are complied with and the firm’s regulatory obligations are met. The governance department assesses the risk inherent in the business, looks at ways to minimise this risk and looks to harmonise business objectives with compliance obligations.

Due to continued growth across the business, we have created a new compliance quality assurance role in the Governance area.  Internally, this will be called Internal Auditor.   This is a permanent position and can be worked under a hybrid framework where the successful candidate will share time between the office and home.

This is not an accounting position.

Responsibilities

  • Design and delivery of the annual internal audit plan - this will predominantly be audits on our technical areas such as investment consulting, pension administration
  • Analysing business data and evaluating information and systems
  • Supporting the firms risk management framework in the identification and mitigation of risks
  • Communicating the audit findings via oral presentations and written reports
  • Making recommendations to improve or strengthen internal controls
  • Supporting the business in respect of external audit responsibilities or regulatory reviews
  • Representing the team and/or business during external audit meetings
  • Participating in the continuous improvement of audit processes and procedures
  • Drafting and updating required procedures or supporting the wider business in process design
  • Training and supporting other members of the team and the wider business
  • Any other reasonable task as advised from time-to-time
  • Support, Implement and Maintain Information Security procedures and activities in accordance to Barnett Waddingham’s Information Security Policy
Qualifications
  • Relevant compliance and quality assurance experience within financial services is essential
  • CISI Diploma in Compliance and/or Diploma in Financial Planning or equivalent qualification is essential, other relevant CISI or CII qualifications  will be considered as will a Personal Finance Society qualification
  • Encouraged & supported to qualify up to Advanced Diploma and Fellowship level
  • A minimum of grade C / 5 or higher at GCSE or equivalent in English and Maths although ideally educated to degree-level this is not essential

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