Compliance Officer

Oculus Legal Group; Cardiff; On-site; GBP 32,000 - 39,000; Full time

Benefits offered by this job

Salary up to £35,000 per annum

Growing Compliance Team

Broad regulatory exposure

Close work with Compliance Manager and

Professional development

Job summary

Oculus Legal Group in Cardiff is seeking a Compliance Officer to join a growing UK law firm team. You’ll support daily compliance operations, including AML checks, client onboarding and regulatory activities, collaborating with lawyers and business services to ensure accurate records.

The role emphasizes monitoring deadlines, maintaining documentation, and assisting with audits and training, offering exposure to a broad compliance remit.

Qualifications

• Previous compliance experience in a law firm or regulated professional services environment.
• Hands-on experience with AML, client onboarding and regulatory requirements.
• Strong record-keeping and deadline management capabilities.

Responsibilities

• Manage client onboarding and ongoing compliance checks including AML and sanctions.
• Support the Compliance Manager with risk and regulatory activities.
• Maintain compliance records, registers, trackers and documentation.
• Monitor deadlines and follow up on outstanding actions.
• Assist with audits, file reviews and training coordination.
• Record and monitor breaches, incidents and risk matters; liaise with colleagues firm-wide.

Skills

AML

Client onboarding

Compliance processes

Job description

Growing compliance team within an established UK law firm

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

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 escalat…
• 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

The Perks:

• Salary up to £35,000 per annum
• 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