Quality and Compliance Auditor


Newcastle upon Tyne

£30,000 - £35,000


We are working with a leading Law Firm with offices based in Newcastle City Centre to recruit a Quality and Compliance Auditor to join their Risk and Compliance Department.

Reporting to their Head of Risk and Compliance/Senior Partner, you will be vital in developing and implementing a comprehensive internal audit function, supporting the firm's compliance.


  • Prepare and perform internal quality audits (to include firm-wide compliance reviews) in line with the Risk Audit Schedule;
  • Formulation and maintenance of the annual audit schedule
  • Undertake and report on audits of the environmental management system (EMS) in line with ISO14001 requirements;
  • Provide support for the Information Security Manager for internal information security audits in line with ISO27001 requirements;
  • Support the Head of Risk and Compliance and Information Security Manager in the preparation of the annual Risk Audit Schedule
  • Undertake fee earner file reviews and consult with fee earners to ensure issues/corrective actions are remediated and propose mitigation plans to address risks within agreed timescales;
  • Document and report audit activities/results, identifying trends, mapping processes and data flows and documenting root cause analysis;
  • Identify and support the implementation of continuous improvement opportunities;
  • Create and maintain relevant audit metrics as contributions to Risk and Compliance updates/reporting to senior management and key stakeholders.


  • Proven audit experience, preferably within a legal/professional service environment.
  • ISO9001:2015 Internal Auditor or similar audit qualification.
  • Proactive and enthusiastic, able to work individually and as a committed team player.
  • Excellent communication and report writing skills with the ability to present complex and sensitive issues to a broad range/level of stakeholders and influence change.
  • Can develop positive and consultative relationships (internally and externally) quickly.
  • Excellent attention to detail.
  • Proficient with IT hardware and software, including Multi-Functional Devices and Microsoft Office and Outlook.
  • Flexible to travel to other office locations as required (Leeds and Manchester).
  • Review and delivery of Risk & Compliance Inductions
  • Support and execution of DSAR requests as and when they are received, providing support and assistance with low-risk client opening, AML checks and CDD.
  • Point of contact for various interested parties for enquiries relating to all aspects of regulatory risk & compliance
  • Planning and preparation for external audit visits and follow-up of any identified corrective actions.

A hybrid offering is available; you will be expected to spend 40% of your time in the office (2 days). A salary of up to £32,000 with 25 days leave + b/h.

Catherine Hingston

Mobile: 07508 979 345

Email: catherine.hingston@bmcrecruitmentgroup.com

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