Growing compliance team within an established UK law firm
We're working with an established UK law firm who are looking for a Compliance Officer to join their growing team in Cardiff. This is a good opportunity for someone with previous compliance experience, ideally gained within a law firm or other regulated professional services environment, to broaden their experience across AML, client onboarding and wider regulatory compliance.
You'll be working closely with the Compliance Manager and wider Compliance Team, supporting the day-to-day delivery of the firm's compliance processes. The role will involve working with lawyers and business services colleagues across the firm, managing routine compliance activity and escalating any issues that fall outside established procedures.
Responsibilities include:
- Managing client onboarding and ongoing compliance processes, including AML, sanctions and source of funds checks
- Providing day-to-day support to the Compliance Manager across compliance, risk and regulatory activities
- Maintaining accurate compliance records, registers, trackers and documentation
- Monitoring compliance deadlines and following up outstanding actions
- Supporting routine compliance checks, file reviews and internal compliance audits
- Recording and monitoring compliance breaches, incidents, complaints, claims and other risk matters
- Assisting with SRA audits, regulatory reviews and other compliance requirements
- Maintaining compliance and regulatory training records and supporting the coordination of training
- Monitoring relevant regulatory updates and highlighting significant changes to the Compliance Manager
- Assisting with compliance reports, communications and management information
- Liaising with colleagues across the firm to obtain information required for compliance checks and reviews
- Supporting wider compliance projects and process improvements
What we need from you:
- Previous experience in a comparable compliance role within a law firm or regulated professional services business
- Practical experience of compliance processes, controls and record keeping
- Experience with AML, client due diligence or regulated client onboarding
- Good understanding of deadlines and the importance of accurate record keeping
- Clear and professional communication skills
- Comfortable handling confidential and sensitive information
- Able to identify issues outside established procedures and escalat…
- Experience within an SRA-regulated law firm would be advantageous
- Experience with sanctions, source of funds/source of wealth checks, ongoing monitoring, audits or file reviews would also be useful
The Perks:
- Salary up to £35,000 per annum
- Opportunity to join a growing Compliance Team
- Exposure to a broad range of compliance and regulatory work
- Close working relationship with the Compliance Manager and senior colleagues
- Continued professional development and opportunities to broaden your law firm compliance experience
#J-18808-Ljbffr
Compliance Officer in Cardiff employer: Oculus Legal Group
Join a leading law firm in Shrewsbury as a Clinical Negligence Legal Assistant, where you will thrive in a supportive and collaborative environment. With a focus on training and professional development, this role offers the chance to grow your career within a specialist team while enjoying a competitive salary and the opportunity to make a meaningful impact in clients' lives. Experience a workplace that values attention to detail and fosters strong communication skills, ensuring you are well-equipped to handle diverse legal challenges.
