New! Compliance Executive | Legal Services

A growing commercial law firm is looking for a Compliance Executive to join its Cardiff team at an exciting point in its development.

If you would like to know a bit more about this opportunity, or are considering applying, then please read the following job information.
The firm has strong roots in Cardiff and an established reputation across Wales and the wider UK. It has grown into a modern, commercially focused legal business, working with ambitious businesses, organisations and individuals across a broad range of sectors.
Now, as the Cardiff team prepares to move into new offices in central Cardiff, there is an opportunity to join the business and play an important part in its continued growth.
About the role
Reporting to the Compliance Manager, you will support the day to day operation of the firm's compliance framework.
This is a broad and practical role, covering client onboarding, AML, sanctions, source of funds checks, compliance monitoring, record keeping, audits and regulatory requirements.
You will work closely with the Compliance Manager and colleagues across the firm, helping to make sure processes are followed properly, records are accurate and potential issues are identified and dealt with promptly.
It is a role that requires attention to detail, but it is also very much about people. You will need to build good working relationships, communicate clearly and be comfortable asking questions or raising concerns when something does not look right.
What you will do
Support client onboarding and ongoing AML, sanctions, client due diligence and source of funds checks
Maintain accurate compliance records, registers, trackers and documentation
Monitor compliance deadlines and follow up outstanding actions
Carry out routine compliance checks and file reviews
Support the Compliance Manager with the firm's policies, procedures and controls
Record and monitor breaches, incidents, complaints, claims and other compliance matters
Assist with internal audits, regulatory reviews and SRA related requirements
Maintain compliance and regulatory training records
Monitor relevant regulatory developments and highlight important changes
Assist with compliance reports, communications and management information
Work with colleagues across the firm to obtain information and improve compliance processes
About you
You will already have experience in a compliance role, ideally within a law firm, professional services business or another regulated environment.
You will have a good understanding of AML and client due diligence and be comfortable working with compliance processes, controls and records.
More than anything, we are looking for someone who is dependable, organised and sensible in their approach.
You will be someone who notices the detail but understands the wider picture. You will know when you can deal with something yourself and when it needs to be escalated.
You will also enjoy working with people. Compliance is not simply about checking boxes, and you will need to work collaboratively with colleagues across the business.
What you will bring
Previous experience in a comparable compliance role
Experience of AML, client due diligence or regulated client onboarding
Good knowledge of compliance processes and record keeping
Strong organisation and time management
Excellent attention to detail
Clear and professional communication skills
The confidence to work with colleagues at different levels
Good judgement and a practical approach to risk
Why join?
This is a good opportunity for someone who wants to be part of a progressive legal business rather than a traditional, heavily hierarchical law firm.
The firm's approach is commercially driven and entrepreneurial, with a clear emphasis on innovation, technology and giving people the freedom to contribute. Its people are encouraged to challenge ideas, collaborate and look for better ways of working.
The Cardiff team is an important part of the firm's identity.
Cardiff is where the business began and remains at the heart of the organisation.
The firm has also developed a significant presence across the UK, giving people the opportunity to work as part of a genuinely connected national team.
The move to a new central Cardiff office adds another element to that growth. You will be joining at a time when the business is investing in its people, its working environment and its future.
There is also a strong sense of connection beyond the work itself, with the firm involved in community, charity, volunteering and pro bono initiatives.
For someone with a solid compliance background who wants more responsibility, broader exposure and the chance to grow with a business, this could be a particularly interesting time to join. xiskglj
To apply
Please send your CV or contact Rob at TSR Legal for a confidential conversation about the opportunity on in total confidence.