Oculus Legal Group
Compliance Officer
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Salary up to £35,000
Growing compliance team within an established UK law firm
Hybrid working – Cardiff
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
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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 escalate them appropriately
- 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
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The Perks:
- Salary up to £35,000 per annum
- Hybrid working
- 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
- Collaborative working environment
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