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Audit and Compliance Executive (COM002)

Added 2 months ago

Job title – Audit and Compliance Executive


  • Working with Proclaim or a similar case management system
  • Understanding of how the case management system works
  • Good analytical skills
  • Good IT skills
  • Ability to communicate effectively with others
  • Excellent attention to detail


To be an integral member of the Compliance Team, undertaking such tasks and activities as dictated by the COLP, Board or Internal Audit Team to ensure adherence to internal processes and systems.

To assist the members of the Compliance team and wider firm with ensuring adherence and compliance, to include but not limited to checking files and spreadsheets to identify necessary information and updates, case reviews, insurer reports, dealing with complaints; writing policies and procedures, decision documents, redrafting documents.

To provide assistance where needed to the team considered appropriate by the COLP and COFA.


The responsibilities and duties in the role will be very varied but will include:

  • To provide such assistance to the Team on a day to day basis as may be considered appropriate or necessary by the COLP or COFA
  • To assist in adherence with current statutes/regulation and Code of Conduct affecting the business
  • To draft documents supporting decisions of the business, documents required by statute/regulation/Code of Conduct
  • To review and amend where necessary, case documents to ensure adherence with statute/regulation/Code of Conduct
  • To check through lists of files, scrutinizing the case plans on existing and closed files to ascertain information relating to the claim.
  • To check through files to ensure adherence with processes and systems. For example, ensuring that relevant information fields have been completed with accurate information.
  • Random auditing of files to ensure compliance with agreed systems and processes.
  • Assistance to the Team in responding to the requirements of external auditors, companies or third parties, to include analysis of cases and such information as necessary to enable the firm to meet its requirements under any agreement.
  • Working with the Internal Audit Team members to scrutinise the integrity of the MI produced to support the firms activities
  • To assist with the firms file review process and LEXCEL auditing requirements

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Unfortunately this vacancy is now closed