​Consultant Gig #789–UK-Marine Services Business – Licensing and Regulatory Compliance Audit Expert

The Maritime Services business has recognised that with an increasing and diverse organisational structure, ensuring that the correct licences are in place for the business and its staff, as well as early sight and implementation of regulatory change is of increasing importance. They are therefore seeking assurance to the effectiveness of existing controls.


The successful candidate will be expected to create the dedicated fieldwork plan to support audit delivery. It is anticipated that audit fieldwork will likely consist of documentation reviews, process walkthroughs, and interviews with key stakeholders, as appropriate.

Access to a Subject Matter Expert in relation to Licensing and Regulatory Compliance would aid those undertaking the fieldwork but is not envisaged to be required for the full duration of the audit.

It is expected that there will be approximately 20 interviews of stakeholders of varying seniority as part of fieldwork. The auditors will be expected to provide feedback on the audit findings to the key stakeholders at an exit meeting, with the Internal Audit point of contact in attendance.


Objectives of the audit are as follows:

  • To provide assurance that there is an effective licencing and regulatory change identification and capture mechanism being operated by the Senior Leadership Team to inform decision-making.
  • To provide assurance that there is appropriate monitoring and review of the Business Unit and Individual licencing and regulatory status with respect to the requirements of their current roles.
  • To provide assurance that there is an effective process in place to identify areas that are at risk of non-compliance.
  • To provide assurance that there are comprehensive plans in place to achieve regulatory compliance in an appropriate timeframe.
  • To provide assurance that appropriate management reporting tracks compliance plans and non-compliance exposure.


The successful candidate should provide sufficient documentary evidence to support their ability to deliver the Licences and Regulatory Requirements Internal Audit detailed above in the timescales required. In addition, the candidate should indicate areas for improvement or additional areas not currently detailed in the objectives.



Start: The Licences and Regulatory Requirements Audit is proposed to be undertaken and reported between October 2021 and December 2021, having fully completed the audit before the Christmas break. Fieldwork is expected to be no longer than 3 weeks, followed by 2 weeks for reporting.
Location: Southern England.   
Rate: Rate to be appropriate to the successful candidate’s level of experience.

Close date: No later than Friday 23rd July 2021 2pm UK time