Field Auditor

Job Ref: 157395
Sectors: Other, Customer Service, Accountancy & Finance
Job Type: Permanent
Date Added: 09 August 2018
  • Staines, Middlesex, England
  • £35,000 - £40,000 per Annum
    ANNUM
  • Tate
  • 01895 257931

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Field Auditor

PURPOSE:

To proactively lead and manage the audit function providing assurance to the Senior Management team that audits are being completed in a timely, effective manner and problems identified are fully investigated, resolved and reported. The primary objectives are to ensure that audits are reviewed for completeness and problems are investigated immediately.

Operational Delivery

  • Work with the National Audit Manager to complete the Audit plan in accordance with the workload as planned
  • Support the National Audit Manager to develop, and maintain the audit framework and methodology seeking to continuously improve controls and manage risk, ensuring the process is fit for purpose and as the brand grows
  • Responsible for the consistent implementation of the Audit and Fraud (from an Audit perspective) policies and procedures, supporting the National Audit Manager with the ongoing development of these
  • Undertake audits (<£750k) however where required, individuals may be asked to undertake audits for higher facility limits.
  • To assess and report any potential risk from clients and make the appropriate recommendation, seeking support, advice and guidance where necessary
  • Liaise with the Operations, Relationship Management and Credit teams during the audit reviews to ensure the business is kept informed of any significant issues/risks identified, in accordance with pre-agreed SLA's in order to allow the business to take appropriate action
  • Participate in project work as required
  • Ensure that quality and professional audits are conducted and evidenced to adequately reflect a true and fair representation of the business under review
  • Know the business under review and understand key factors which would have an impact on risk to the brand and focus audit scope on high-risk areas, as guided by the National Audit Manager and Portfolio Risk Manager
  • Complete surveys for new business clients primarily for facility limits <£750k, however where required, individuals may be asked to undertake surveys for higher facility limits.
  • Work with the Operations, Relationship Managers and Credit teams to improve processes between teams, to manage any control issues identified Continuous Professional Development
  • Own your continued professional development by ensuring that the skills and knowledge required to deliver your role effectively are up to date
  • Optimise opportunities for continuous professional development, examples of which may be to capture useful experiences for growth and learning such as working with colleagues from elsewhere in the business, read professional publications, contribute to relevant forums within the business, attend training courses etc.

Compliance

  • Responsible for ensuring that all necessary steps are taken to protect customer and client confidentiality whilst also protecting company and commercially sensitive information especially in relation to potential fraud and in the storage and disposal of confidential client information in the correct manner
  • Ensure compliance with all relevant legislation and specifically that which relates to Data Protection, CIFAS, Money Laundering, Health and Safety, Bribery Act and Treating the Customer Fairly ('TCF') and attend update training as may be required from time to time
  • To ensure compliance with relevant legislation and regulatory requirements, including Sarbans Oxley ('SOX') and IFRS within the remit of work assigned
  • Ensure compliance with SOX requirements by ensuring ongoing compliance with the following objectives:
  • Ensure new procedures, methodology and skills introduced are firmly embedded in ways of working
  • Thoroughly investigate any issue or compliant, identifying and providing a satisfactory solution for the customer/supplier
  • In the interests of the business, recommending and agreeing corrective and preventative action with your line manager to prevent reoccurrence
  • Responsible for preparing for all your 121's and keeping your personal development plan up to date at all times
  • Demonstrating the company behavioural values Harmony, Sincerity and Pioneering Spirit at all times
  • Responsible for keeping up to date with changes to procedures and processes and access all company communication channels on a regular basis
  • To offer improvements to current processes to benefit both our internal and external customera

Risk

  • Recognise individual responsibility and accountability for risk in relation to this role and follow effective best practice processes and departmental processes to minimise errors, fraud and exposure to risk
  • Take appropriate measures to manage risks and ensure that you recognise your individual responsibility and accountability for risk in relation to your role and follow effective best practice processes
  • Work with external advisors, and relevant Group functions where necessary to ensure any risk is minimised
  • Keeping up to date with current regulatory requirements

PERSON SPECIFICATION

  • Minimum 5 years' experience working within financial services, and working within the invoice finance industry is essential
  • Experience of fraud detection
  • ABFA diploma or certificate
  • Educated to degree level in a related discipline - desirable
  • Previous underwriting experience - desirable
  • Highly developed analytical skills and exceptional attention to detail
  • Proven track record in producing and presenting audit and survey reports including finding funding solutions
  • Must have the ability to negotiate in difficult situations, using knowledge and experience to challenge financial and operational informatio
  • Excellent communication skills both verbal and written
  • Proactive approach and self-motivated
  • Full clean driving licence

Tate is acting as an Employment Agency in relation to this vacancy.

Tate
08/09/2018 00:26:07
GBP 35000.00 35000.00.