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1.0

United Kingdom

Risk, Compliance & Procedures

  • Risk based approach to auditing – procedures, statutory & regulatory requirements, interview audits and case/file audits
  • Compliance implementation and management
  • Implementing and documenting procedures and policies to comply with regulatory & statutory and all requirements
  • Implementing and maintaining risk and compliance records incl. Risk Register, Complaints Register, Compliance Plan, Compliance reporting formats, key dates and records reporting
  • Risk management - identifying risks and non-compliances and providing resolutions and solutions
  • Risk Register – business and area specific
  • Auditing and advising on practice area/department protocol
  • ISO 14001 & 9001 Architects’ Practice
  • Themed based audits
  • Employee competence levels assisted and monitored – senior management, middle management/supervisors and support/admin
  • Orchestrating and input to senior management and cross-functional management meetings
  • Setting KPIs & objectives - plans and management
  • Presenting objective findings through auditing, risk & compliance and observing to advise senior management
  • Facilitate audits for and with internal auditors and senior management
  • Training provider – internal auditing, client care, supervision, compliance and general in-house training
  • Identifying areas of best practice and utilising as a transferrable skill where applicable
  • Compiling audit criteria and schedule
  • Performance management of auditors
  • Team management
payment by agreement


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