At a Glance
- Tasks: Support compliance operations, client onboarding, and regulatory checks in a dynamic legal environment.
- Company: A progressive commercial law firm with strong roots in Cardiff and a focus on innovation.
- Benefits: Opportunity for growth, collaborative culture, and involvement in community initiatives.
- Other info: Exciting time to join as the firm expands into new central Cardiff offices.
- Why this job: Join a modern legal business and make a real impact in compliance and client relations.
- Qualifications: Experience in compliance, knowledge of AML, and strong communication skills.
The predicted salary is between 27000 - 33000 £ per year.
A growing commercial law firm is looking for a Compliance Executive to join its Cardiff team at an exciting point in its development. 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.
To apply
Please send your CV or contact Rob at TSR Legal for a confidential conversation about the opportunity on 02920 388100 in total confidence.
New! Compliance Executive | Legal Services in Newport employer: TSR Legal - Wales
Join one of Wales' leading Court of Protection teams, where you will be part of an award-winning practice known for its commitment to quality and client care. With a supportive and collaborative work culture, you will have the opportunity to manage complex cases alongside experienced specialists, ensuring your professional growth in a meaningful area of law. The flexibility of location across South Wales and Bristol further enhances this role, making it an attractive option for solicitors looking to build a long-term career in a respected environment.
StudySmarter Expert Advice🤫
We think this is how you could land New! Compliance Executive | Legal Services in Newport
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like TSR Legal - Wales looking for candidates who are engaged and informed.
We think you need these skills to ace New! Compliance Executive | Legal Services in Newport
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at TSR Legal - Wales. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at TSR Legal - Wales
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with TSR Legal - Wales’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
