Compliance Executive
Cardiff (hybrid working)
£35,000 DOE
An excellent opportunity has arisen for a Compliance Executive to join a growing Compliance Team within a leading commercial law firm. This role would suit a compliance professional with previous experience in a law firm or regulated professional services environment who is looking to broaden their experience across a wide range of risk, regulatory and compliance matters.
Working closely with the Compliance Manager and wider compliance team, you will play a key role in supporting the firm's day-to-day compliance and regulatory activities. This is a varied position offering exposure to AML, client onboarding, sanctions, source of funds checks, file reviews, regulatory monitoring and wider risk management processes.
Key responsibilities include:
- Managing client onboarding and ongoing compliance processes
- Conducting AML, sanctions and source of funds checks
- Maintaining compliance records, registers and tracking systems
- Monitoring compliance deadlines and following up outstanding actions
- Supporting the implementation and monitoring of compliance procedures
- Assisting with compliance audits, file reviews and monitoring exercises
- Recording and tracking complaints, breaches, incidents and risk matters
- Preparing documentation for regulatory reviews and audits
- Maintaining compliance training records
- Producing compliance reports and management information
- Supporting compliance projects and process improvement initiatives
- Liaising with colleagues across the firm to support regulatory requirements
The successful candidate will have:
- Previous experience in a compliance role within a law firm or regulated professional services environment
- Experience of AML, client due diligence and onboarding processes
- Strong organisational and administrative skills
- Excellent attention to detail
- The ability to handle confidential and sensitive information appropriately
- Strong communication and stakeholder management skills
- Experience maintaining compliance records and monitoring deadlines
- A proactive approach and willingness to learn
Desirable experience:
- Compliance experience within an SRA-regulated law firm
- Knowledge of SRA regulations and law firm compliance requirements
- Experience of sanctions screening and source of funds/source of wealth checks
- Experience supporting audits, file reviews or monitoring programmes
- Familiarity with compliance, onboarding or case management systems
*At Chadwick Nott, we are committed to developing a diverse and inclusive culture as well as supporting our large client network achieve the same. We are an equal opportunities employer and encourage applications of all qualified candidates regardless of their age, sex, race, disability, sexual orientation, disability, culture or anything other personal characteristic. We champion and celebrate diversity in the workplace. Where a level of experience is indicated, please note that this is only a guideline.*
