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We are recruiting for a Compliance Analyst to join our Can I Act team. The team deals with business acceptance (both compliance and conflicts clearance) and ongoing monitoring of the Firm's business relationships, and supports the wider Risk and Compliance function on a number of strategic and critical business protection activities. Reporting into one of the team leaders in the CIA team, the role holder will work with the wider CIA team to assist the Firm on: <ul> <li>Onboarding clients, supporting with gathering due diligence and risk assessments;</li> <li>Undertaking periodic and trigger based reviews of the Firm's clients (including any enhanced due diligence measures and monitoring required);</li> <li>Undertaking reviews and investigations of any screening alerts (covering sanctions, politically exposed persons, adverse media or ESG/ reputational concerns);</li> <li>Source of funds and financial compliance queries and checks, including third party payments queries; and</li> <li>Ensuring compliance with internal policies and procedures relating to business acceptance, client and matter inception and ongoing monitoring.</li> </ul>In addition, the role holder will provide advice and support to the firm, its partners, and employees on a varied and challenging workload of enquiries relating to business acceptance across all work types and areas of the firm, including source of funds/wealth, client due diligence (CDD), other financial crime and sanctions matters. Your Role As a Compliance Analyst you will: <ul> <li>Undertake client due diligence, and provision of support to fee earners in completing client and matter risk assessments and other legal compliance functions all whilst ensuring adherence to AML regulations and internal processes.</li> <li>Provide clear, accurate advice regarding CDD/KYC requirements, client and matter inception, source of funds/TPPs, and general AML queries.</li> <li>Provision of ad hoc support and acting as a point of contact for answering queries from the wider business on compliance matters relating to the above.</li> <li>Be able to interpret AML regulations and internal policies to make risk based decisions when providing client and matter risk advice to colleagues in the firm.</li> <li>To escalate complex issues to the team leaders, team manager or Head of AML and FC, including reputational matters where appropriate, with suggested proposals on the course of action.</li> <li>To provide support on wider risk and compliance projects as need be, which might include creation and delivery of training, updating guidance and forms for the team and the firm, including presenting to the firm as need be on any related topic.</li> <li>To build and maintain strong relationships across the firm, acting as a point of contact in relation to business acceptance and ongoing monitoring queries.</li> <li>To participate and support as necessary on any relevant risk and compliance projects or workstreams.</li> <li>Promote a positive compliance and risk culture across all offices and functions.</li> </ul>Your Skills and Experience <ul> <li>This role would suit someone with experience of dealing with AML regulatory issues, client onboarding and/ or ongoing monitoring in a compliance function at another law firm.</li> <li>A minimum of 2 years' technical and practical experience of CDD within a law firm is preferred. </li> <li>Demonstrate good technical knowledge of the Money Laundering Regulations 2017. </li> <li>Strong reasoning skills and the ability to think laterally.</li> <li>Excellent communication and interpersonal skills, with the ability to effectively collaborate and communicate with stakeholders at all levels, including the ability to effectively communicate and justify business acceptance decisions to partners, and handle challenging conversations. </li> <li>Demonstrate credibility to gain respect internally and, to the extent appropriate to the role, externally with people at all levels. </li> <li>Have an awareness of commercial issues and the commercial concerns of partners within the firm.</li> <li>A self starter, proactive and demonstrates ability to prioritise work and multitask effectively to meet deadlines and work to service level agreements.</li> <li>Methodical approach to work and superb attention to detail.</li> <li>Excellent team player.</li> </ul>Your Team The Can I Act team (CIA) sits within the Risk and Compliance function for the Firm, and supports with business acceptance (both compliance and conflicts clearance) and ongoing monitoring of the Firm's business relationships, together with advising the Firm on general compliance queries, undertaking sanctions and compliance monitoring, and supporting on source of funds/ third party payments queries and issues. The CIA team also supports the wider Risk and Compliance function on a number of strategic and critical business protection activities. The team undertakes a variety of tasks associated with client and matter onboarding, and also provides regular training and guidance across the Firm. The team consists of 20 compliance professionals. A compliance team manager is responsible for day to day management of the team, supported by 3 team leaders. The team reports into the Firm's Head of AML and FC. About TLT Fast paced, fast growing and forward thinking, TLT is the law firm that helps clients stay one step ahead, and we do the same for our people. We work with high profile clients in innovative sectors. With local, national and international reach, we have over 1,800 people in offices across the UK and a network of partner firms across Europe, India and the US. TLT was named Law Firm of the Year at the Legal Business Awards 2023. This marks the third year in a row the firm has taken away this accolade in industry awards - having previously been named Law Firm of the Year at The Lawyer Awards in 2021 and the British Legal Awards in 2022. Our purpose is to protect, prepare and progress our clients for what comes next and it's essential that we do the same for our people, our planet and our communities too. In our open and collaborative culture, we encourage everyone to be their whole self, to have a voice and to contribute. Our Benefits We value our employees highly and we want you to feel valued. You'll receive a competitive salary with an annual pay review. You will also have access to an extensive range of benefits via our flexible benefits scheme including 25 days holiday (which will increase to 30 days based upon length of service) and private medical insurance. At TLT we have a progressive fully flexible working approach. We empower our people to work in a place and at a time that meets their needs, those of their clients and of the wider team and firm. Part of this agile approach is a focus on hybrid working and supporting the work/life balance of our people. We're happy to talk about how flexible working can work for you and this role. TLT is committed to creating a diverse and inclusive working environment and encourages applications from all suitably qualified people, regardless of disability, race, gender identity, sexual orientation, or any other characteristics protected by the laws in the locations in which we operate. We welcome applications from people with disabilities and are committed to providing reasonable adjustments, where necessary, to make interviews and jobs more accessible. Should you have any difficulty during the recruitment process, require any reasonable adjustments or an application to Access to work please contact the recruitment team on <a href="mailto:Recruitment.Operations@TLT.com" target="_blank">Recruitment.Operations@TLT.com</a>

Compliance Analyst

Job Description We're looking for a Client Relations &amp; Compliance Assistant, responsible for addressing client dissatisfaction and managing complaints through informal resolution, ensuring a positive client experience. This role is critical in maintaining strong client relationships, providing an accessible platform for clients to voice their concerns, and managing these concerns in a timely and effective manner. The role will also support compliance efforts in areas such as GDPR, Subject Access Requests (SARs), and Anti-Money Laundering (AML), ensuring all relevant documentation and records are accurately maintained. enthusiastic and engaged individuals to assist with the administration and general clerical duties in our Residential Conveyancing department. What you'll be responsible for: COMPLAINTS MANAGEMENT <ul><li>Serve as the first point of contact for clients raising concerns or dissatisfaction.</li><li>Engage with clients in a friendly, professional, and empathetic manner to resolve complaints informally and quickly.</li><li>Listen to client complaints, acknowledge their concerns, and take proactive steps to resolve issues.</li><li>Provide clear communication regarding the next steps if informal resolution is not possible and signpost clients to formal complaints channels or escalate where necessary.</li><li>Track complaints, identifying trends or common themes within the organisation, and carry out thematic analysis of complaints against departments or teams.</li><li>Work closely with internal teams to address recurring issues or systemic challenges identified through client feedback.</li></ul>COMPLIANCE &amp; RISK <ul><li>Manage Subject Access Requests (SARs) by collating the required documentation and reviewing the information with support from the Risk &amp; Compliance Manager.</li><li>Support the initial investigation and handling of complex GDPR and AML breaches, ensuring compliance with relevant regulations and procedures.</li><li>Assist with maintaining the Howells Hub by updating compliance forms, documentation, and policies.</li><li>Maintain compliance-related spreadsheets, including but not limited to Breaches Registers, to ensure that records are accurately tracked and up to date.</li></ul>GENERAL ADMINISTRATION &amp; REPORTING <ul><li>Record and report client complaints and compliance issues to senior management, offering recommendations for improvements where applicable.</li><li>Ensure that all communication, actions, and resolutions related to complaints and compliance matters are well documented.</li><li>Assist with ad-hoc compliance-related tasks as required.</li></ul>What we're looking for: <ul><li>Experience in customer service, client relations, or complaints handling, particularly within a phone-based environment.</li><li>Experience working within a residential conveyancing environment is desirable but not essential.</li><li>A basic understanding of compliance areas such as GDPR, AML, and handling Subject Access Requests (SARs) is desirable but not essential (training will be provided).</li><li>Previous experience in an administrative or support role, particularly in compliance or client-facing positions, is beneficial.</li></ul>What you'll receive: <ul><li>Competitive Salary</li><li>Annual Leave:Enjoy a minimum of 23 days each holiday year, plus bank holidays and extra time off to unwind, including an additional personal day, a day off for your birthday, and a discretionary paid day during the Christmas break.</li><li>Annual Leave Purchase Scheme:Option to buy up to 3 extra days of leave annually to support your work-life balance.</li><li>Gym Discounts:Access discounted memberships to help you stay active and healthy.</li><li>Growth &amp; Development:We're invested in your career with opportunities for learning and advancement.</li><li>Milestone Recognition:Celebrate your dedication with recognition and awards for key milestones.</li><li>Events:Take part in various networking, corporate, and charity events throughout the year.</li><li>Refer a Friend Scheme:Get rewarded for referring talented friends and connections to join the team.</li></ul>Apply Now If you have any questions about this opportunity, please email <a href="mailto:recruitment@howellslegal.com" target="_blank">recruitment@howellslegal.com</a> Successful candidates will be subject to a basic or enhanced DBS disclosure dependent on the role. Permanent employment is conditional on having a satisfactory DBS check. You will therefore be asked to disclose any unspent convictions during the recruitment process.

Client Relations & Compliance Assistant

Advert Compliance Assistant (4 Posts) Cardiff University is a prestigious institution in the heart of Wales, known for its vibrant campus, world-class research, and outstanding learning environment. The Estates and Campus Facilities team is integral to maintaining and enhancing the university's infrastructure, ensuring an exceptional experience for students, staff, and visitors. We are seeking 4 Compliance Assistants to join our Estates Department, to conduct regular testing and maintenance of fire alarm systems, emergency lighting, disabled toilet alarms and disabled refuge alarms, Package includes 32 days holiday per year plus bank holidays as well as access to a range of staff discounts. Cardiff University offers excellent working conditions and benefits including : -<ul><li>Generous annual leave</li><li>Membership of the Cardiff University Pension Scheme.</li><li>Uniform</li><li>Access to a company vehicle during working hours</li><li>Use of the University's leisure and cultural facilities</li><li>35 hour working week</li></ul>There are 4 full-time (35 hours per week), open-ended positions available. Salary: £24,900 - £25,733 per annum (Grade 3) Date advert posted: Tuesday, 8 April 2025 Closing date: Tuesday, 22 April 2025 Cardiff University is committed to supporting and promoting equality and diversity and to creating an inclusive working environment. We believe this can be achieved through attracting, developing, and retaining a diverse range of staff from many different backgrounds. We therefore welcome applicants from all sections of the community regardless of sex, ethnicity, disability, sexual orientation, trans identity, relationship status, religion or belief, caring responsibilities, or age. In supporting our employees to achieve a balance between their work and their personal lives, we will also consider proposals for flexible working or job share arrangements. Applications may be submitted in Welsh, and an application submitted in Welsh will not be treated less favourably than an application submitted in English. Job Description Job Purpose To assist in maintaining compliance with fire safety regulations and standards by conducting regular testing and inspections of life safety system and elements of physical building fabric for a defined zone of buildings. A customer centric approach is essential ensuring effective communication with building occupants / managers to ensure impact on stakeholders and university business / operations is minimised as far as possible. As the biggest university in Wales - and a major employer, with more than 7,000 staff - we are an ambitious and innovative university located in a beautiful and thriving capital city. We can offer you the chance to work in a vibrant organisation, with great benefits and opportunities for progression. DUTIES AND RESPONSIBILITIES SPECIFIC DUTIES Fire alarm: <ul><li>Schedule, arrange and conduct weekly tests of manual call points for fire alarm systems at a fixed time agreed with stakeholders,</li><li>Ensure effective communication with Security Control Room colleagues for awareness of testing.</li></ul><ul><li>Create and maintain testing schedules and records. Update electronic and paper fire logbooks and other electronic databases with testing records.</li></ul>Emergency lighting: <ul><li>Schedule, arrange and conduct monthly and annual testing of emergency lighting systems, causing minimum disruption to the building occupiers,</li></ul><ul><li>Produce certificates for completed testing,</li></ul><ul><li>Develop and maintain drawings and schedules for systems fittings and controls.</li></ul>Accessible toilet and fire refuge alarms: <ul><li>Schedule, arrange and conduct monthly testing of accessible toilet and fire refuge alarms. </li><li>Ensure effective communication with Security Control Room colleagues for awareness of testing.</li><li>Maintain accurate records of tests conducted. </li></ul>Fire drills: <ul><li>Schedule, arrange and conduct 6 monthly fire / emergency evacuation drills, co-ordinating with the Security Operations and Building Support Teams for support, and to ensure compliance and safety protocols are followed. </li><li>Maintain accurate records of drills conducted.</li></ul>Other:<ul><li>Schedule, arrange and conduct regular general fire safety / health and safety inspections and testing including but not limited to:<ul><li>Escape route,</li><li>Fire doors,</li><li>Fire safety and emergency escape signage,</li><li>Fire extinguishers and blankets,</li><li>EVAC Chairs,</li><li>Defibrillators.</li></ul></li></ul>GENERAL DUTIES<ul><li>Maintain accurate records of checks, inspections, tests and remedial work completed or raised for specialist attention,</li></ul><ul><li>Work with others to make recommendations for the development and improvement of current processes and procedures,</li><li>Create good working relationships with key contacts to help maintain / improve service levels,</li><li>Undertake a variety of administrative duties to support the team and department,</li><li>Gather and review data to update administrative systems such as databases and spreadsheets, making sure the information is accurate, and highlighting to your line manager basic trends and patterns,</li><li>Actively contribute to the success of the team,</li></ul><ul><li>Abide by all University policies and undergo appropriate personal and professional development,</li><li>Perform other duties which are not included above, but which will be consistent with the role,</li><li>Uphold the Professional Services Values &amp; Behaviours or local equivalent.</li></ul>Additional Information ADDITIONAL INFORMATION HOW WE WILL SUPPORT YOU IN PERFORMING THIS ROLE We want to support and develop you in the role, using a combination of the following to help you reach your full potential:<ul><li>Regular one-to-one meetings with your line manager,</li><li>An experienced and supportive team around you,</li><li>Support to undertake job-relevant training and development, as identified by your Line Manager,</li><li>A staff mentoring scheme,</li><li>Support to learn Welsh or to update language skills,</li></ul>Person Specification We want to employ people with a wide variety of experiences. We welcome applications from all sections of the community regardless of sex, ethnicity, disability, sexual orientation, trans identity, relationship status, religion or belief, caring responsibilities, or age. We are particularly seeking applications from candidates who come from backgrounds that are underrepresented at the University, including people from Black, Asian and Minority Ethnic communities. We are looking for a team player who will work with colleagues to provide an excellent customer focused service. You don't need to have worked for a university before; this is an opportunity to show your potential and start or continue your career at Cardiff University. This role may be an opportunity for you to build on your experience from working in a previous similar role or environment, showing your transferable skills and potential to be successful in the role. You should be enthusiastic about developing your knowledge and skills to become a valued member of the team. Your application will be assessed against the following essential and desirable criteria for the role. Please copy and paste this section into a new document and give clear examples of how you can evidence meeting each criteria by writing under each one. You can draw on elements from any aspect of your life (e.g. work, home, education/qualifications or community life) as long as you focus on their relevance to the role. Please save your supporting statement in a separate document with the title [YOURNAME-BR NUMBER-JOB TITLE] and attach it to your application in the recruitment system, available here. Please note that these are also the criteria shortlisted applicants will be assessed against at interview and / or by other means (e.g. a skills test). Essential Criteria<ol><li>Ability to carry out a variety of administrative tasks, including writing clearly and concisely.</li><li>Experience of using common office IT packages in particular a good level of Excel knowledge (e.g. MS Office, e-mail etc.).</li><li>Ability to set up and maintain standard administrative systems and procedures, including using University systems to collate and accurately record data online and in hard copy. Training will be provided where required.</li><li>Ability to communicate with a wide range of people effectively and courteously whilst maintaining professional standards, delivering excellent customer service at all times and adapting your language and style of communication depending on who you are communicating with.</li><li>Ability to work well with your team, knowing how to give advice, guidance and feedback (to a diverse range of people) as appropriate.</li><li>Ability to work collaboratively with others (e.g. contractors, internal colleagues).</li><li>Ability to work unsupervised, planning and organising your own workload within agreed timelines as set by your Line Manager.</li><li>Ability to use your initiative to solve problems and respond to queries, finding and proposing the best solution.</li></ol>Desirable Criteria<ol><li>A full Group B manual driving licence to enable you to drive a university vehicle (if / when required),</li><li>Experience of working in a compliance, maintenance and / or electrical related role,</li><li>Ability to speak/understand Welsh or a willingness to learn.</li></ol>

Compliance Assistant

More than you expected The UK member firms of Grant Thornton are part of global network of independent audit, tax and advisory firms, made up of some 76,000 in over 150 countries. We're a team of independent thinkers who put quality, inclusion and integrity first. All around the world we bring a different experience to our clients. A better experience. One that delivers the expertise they need in a way that goes beyond. Personal, proactive, and agile. That's Grant Thornton. Job Description: NEW GROUND WON'T BREAK ITSELF. Every day our teams help people in businesses and communities to do what is right and achieve their goals. You will be part of the Global Compliance and Reporting Solutions (GCRS) team whose goal is to help multi-jurisdictional businesses manage their compliance requirements and risk. You'll liaise with Grant Thornton UK and Grant Thornton International member firm individuals, ensuring that our clients compliance obligations are met alongside key SLA's. GCRS is an extension of the client's central team covering tax, accounting, and payroll matters. We're happy to talk flexible working and consider reduced hours and job shares, we'll support you to balance your work and life. A look into the role As a Global Compliance Administrator in Accounting and Tax Compliance within our GCRS team you will: <ul><li>Take the lead of a wide range of contract management duties, ensuring delivery of a quality back office support function</li></ul><ul><li>Handle invoicing queries on behalf of national and global partner teams, working to a high degree of accuracy and to deadlines</li></ul><ul><li>Closely monitor the delivery of multiple compliance deadlines across multiple jurisdictions, with ownership of the central dashboard on behalf of the client, carried out by Grant Thornton International member firms for allocated portfolio of clients</li></ul><ul><li>Assist in the compilation of proposals, supporting the client delivery teams with a range of administrative tasks</li></ul><ul><li>Assist in the preparation of documents to be sent to the client, to agreed timescales and SLAs, ready for review</li></ul><ul><li>Prepare global fee collation and pulling together proposal materials for new opportunities</li></ul><ul><li>Organise and attend internal and external meetings and when appropriate answering client queries, take minutes and proactively ensure follow up on agreed actions</li></ul><ul><li>Keep in regular contact with key management personnel at the clients, as well as forming a strong network with contact at Grant Thornton International member firms and Grant Thornton UK</li></ul><ul><li>Have the opportunity to work with some of our fast-growing clients, learning how to expand into new markets and establish businesses. GCRS often is the first point of call for some clients needed assistance in a wide variety of matters needing quick attention and high-quality advice and support</li></ul>Knowing you're right for us <ul><li>Joining us as a Global Compliance and Reporting Project Coordinator, the minimum criteria you'll need is experience of working in a finance or compliance environment, with intermediate Excel skills and a demonstrable ability to deliver quality work to deadlines.</li></ul>You'll need to be a confident and clear communicator. It would be great if you had some of the following skills, but don't worry if you don't tick every box, we'll help you develop along the way. <ul><li>Experience of PowerPoint, Excel, Outlook</li></ul><ul><li>Excellent visualisation and typography skills.</li></ul><ul><li>An eye for detail and highly organised.</li></ul><ul><li>Be able to work independently once fully trained and be able to take ownership of workload</li></ul>Knowing we're right for you Embracing uniqueness, the culture at Grant Thornton thrives on the contributions of all our people, we never settle for what is easy, we look beyond to deliver the right thing, for everyone. Building an inclusive culture, where we value difference and respect our colleagues helps our people to perform at the best of their ability and realise their potential. Our open and accessible culture means you'll interact with leaders who are interested in you and everything you bring to our firm. The things that set you apart, we value them. That's why we give you the freedom to bring your whole self to work and pursue your passions inside and outside of work. Beyond the job Life is more than work. The things you do, and the people you're with outside of work matter, that's why we're happy to look at flexible working options for all our roles, and we'll always do our best to keep your work and life in balance. The impact you can make here will go far beyond your day job. From secondments, to fundraising for local charities, or investing in entrepreneurs in the developing world, you'll be giving back to society. It's that drive to do the right thing that runs through our every move, grounded in our CLEARR values - Collaboration, Leadership, Excellence, Agility, Respect and Responsibility. We're looking for people who want to contribute, spark fresh ideas and go beyond expectations. People who want to be able to proudly do what's right, for the firm, our clients, our people and themselves. It's how it should be. #LI-KS

4 Compliance Management Systems / Technology Jobs in Cardiff, UK