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Compliance Officer - Cardiff

Compliance Officer - Cardiff

Posted 6 April by TSR LEGAL Easy Apply Ended

Compliance Officer - Cardiff

A permanent role has arisen working within a leading law firm with offices in London and the Southwest. This is an exciting opportunity for an ambitious candidate who is looking for a challenging new role in a dynamic and expanding firm.

The candidate should be 2-3 years PQE or have relevant experience in a compliance role.

Salary: £20,000 - £26,000 (experience dependent)


  • 2-3 years PQE or relevant experience in a Compliance role within a law firm, though lawyers wishing to move in-house from a fee earning role will be considered;
  • Excellent attention to detail;
  • Experienced user of Microsoft Outlook, Word, Excel and PowerPoint;
  • Excellent time management, organisational and administrative skills;
  • Team player but self-motivated and able to work autonomously;
  • Flexible - willing to travel within the UK when required.

Job Role:

  • Helping to build the firm’s risk register and review its key policies on a regular basis;
  • Managing complaints for both SRA and FCA entities including maintaining a log, ensuring timelines for responding are met, liaising with regulators and the legal ombudsman as required;
  • Recording of all breaches, assessment of breaches that are reported and production of a recommendation for action to the COLP and Deputy COLP, acting as the point of contact for material breaches, ensuring that all breaches are dealt with within required timescales, producing monthly reports and submitting to management for review;
  • Ensuring maintenance of all records and registers as required by the SRA;
  • Liaising with the SRA as required and coordinating queries to and from the SRA;
  • Designing and maintaining a system of assurance in relation to file audits, policy audits and other processes as required;
  • Drafting policies in relation to the regulation of the firms;
  • Dealing with day-to-day queries including issues relating to engagement, conflicts of interest, structural inquiries and other queries arising from SRA Handbook;
  • Responding to day to day queries from the firm’s fee earners;
  • Supporting the firm’s COLP in the exercise of his day to day duties.

Please contact Rachel Phillips in the Cardiff head office for a confidential conversation:

Reference: 34850011

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