Compliance Manager/Head of Compliance

• Overseeing the firm’s regulatory compliance, AML and risk frameworks
• Assessing internal suspicious activity reports and determining whether SARs should be submitted
• Maintaining accurate records of reports and decisions
• Leading the annual Practice-Wide Risk Assessment
• Advising on client and matter risk assessments, enhanced due diligence and ongoing monitoring
• Ensuring compliance with SRA Standards and Regulations and Money Laundering Regulations
• Supporting Lexcel, CQS and other accreditations
• Monitoring regulatory developments and implementing changes
• Managing compliance queries and supporting complaint handling
• Conducting file audits, analysing trends and reporting findings
• Identifying training needs and delivering compliance training
• Liaising with the SRA and other regulatory bodies

You will have strong legal-sector compliance, AML, risk or regulatory experience, together with detailed knowledge of the SRA Standards and Regulations and Money Laundering Regulations.

Experience as an MLRO, Deputy MLRO or compliance lead would be advantageous. Applications are also welcomed from experienced solicitors looking to move into a full-time, non-fee-earning compliance position.

You will be analytical, organised and confident advising colleagues at all levels, with a practical and solutions-focused approach.

The firm offers a highly competitive salary and a generous benefits package, including additional annual leave, private healthcare, gym discounts and a range of further benefits. Skills

• Asset Management (Project)
• Financial Knowledge
• Financial Planning (Business)
• Governance Job Titles
• Investments
• Regulatory Compliance (Compliances)
• Risk Analysis
• Sales Promotions

An established, multi-office South Wales law firm is looking for an experienced Compliance Manager or Head of Compliance to lead its regulatory compliance, risk and AML functions.

Employing around 180 people, the firm has a significant residential conveyancing offering alongside a broad range of other legal services. This is a senior, non-fee-earning position with responsibility for strengthening the firm’s compliance framework and promoting a positive risk culture across all departments.

The role is hybrid, with two to three days each week in the office. Applicants must therefore be based in South Wales.