Compliance Executive (SHJ921958786) Cardiff, Wales

Salary: GBP35000 - GBP35000 per annum

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
This is an excellent opportunity to join a collaborative and growing compliance team, offering exposure to a broad range of regulatory work and genuine opportunities for professional development. Please apply or send your CV to shannonhewes@chadwicknott.co.uk in order to be considered.