Job Description

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Description

Geldards LLP is a leading regional law firm with offices in Cardiff, Derby, Nottingham and London. We are currently recruiting for a Risk and Compliance Advisor to join our Best Practice and Risk team in our open plan and collaborative Cardiff office.



The Risk and Compliance Supervisor will support the firm's risk and compliance function by administering internal and Legal Ombudsman complaints, managing data protection incidents, and handling Professional Indemnity Insurance (PII) claims. The role also offers opportunities to gain experience in broader compliance areas, including Solicitors Regulation Authority (SRA) Standards and Regulations, conflicts of interest, and Anti-Money Laundering (AML) requirements.###

Key Responsibilities

Complaints Management:

Administer internal complaints and Legal Ombudsman matters in line with the firm's Complaints Procedure. Ensure timely acknowledgement and response to complaints, liaising with relevant teams and maintaining accurate records. Undertake a review of the file to understand the merits of each complaint and produce chronologies where needed. Update the firm's complaints register and produce quarterly reports analysing metrics including root cause, complaints upheld, cost of complaints.

Data Protection Compliance:

Assist with reporting and investigating personal data breaches in accordance with the Data Protection Policy and ICO requirements. Support Data Protection Impact Assessments (DPIAs) and maintain compliance documentation, including the firm's information security incident register. Undertake root cause analysis and consider any updates to procedures.

Claims Handling:

Manage PII claims and liaise with insurers, ensuring compliance with the firm's Professional Indemnity Insurance obligations. Consider whether internal reports require notification to insurers. Undertake a root case analysis for each PII claim reported. Update the firm's PII claims register and produce quarterly reports analysing metrics including potential quantum, teams, merits of the claim.

Regulatory Compliance:

Gain exposure to SRA Standards and Regulations, including duties to report breaches and maintain ethical standards. Support conflict of interest checks and escalate issues in line with the firm's Conflicts Policy. Assist with AML compliance processes, including client due diligence and monitoring adherence to the firm's AML/CTF policies. Assist the team with monitoring sanctions list compliance.

Risk Management:

Contribute to internal and external audits and compliance reviews as part of the firm's risk management framework. Maintain accurate records and prepare reports for the Head of Best Practice and Risk, and for the firm's Risk Management Group. Assist in providing training on various risk management issues. Update firm policies and procedures where required.


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Skills, Knowledge and Expertise

Strong organisational and administrative skills with attention to detail. Excellent written and verbal communication skills for liaising with internal teams and external bodies. Problem Solving: Identifies issues and proposes practical solutions. Adaptability: Responds positively to changing priorities and regulatory requirements. Ability to handle sensitive information confidentially and professionally. Maintains discretion and adheres to professional standards. Proficiency in Microsoft Office applications (Word, Excel, Outlook). Knowledge of complaints handling, data protection principles, and regulatory compliance (desirable). Familiarity with SRA Standards and Regulations, AML requirements, and conflicts of interest (desirable). Previous experience in a legal or professional services environment (advantageous).

Development Opportunities:

Training and mentoring on SRA Standards and Regulations, conflicts of interest, and AML compliance. Exposure to risk management processes and internal and external audits. Opportunity to progress within the Best Practice and Risk team.


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Benefits

In return, you will have the opportunity to develop your career within our Best Practice and Risk team based in our Cardiff office and will be paid a competitive salary, as well as qualifying for other benefits such as:

35 hour working week - Monday to Friday, 9am to 5pm 25 days annual leave plus bank holidays pro rata (increasing with additional years of service) A day off on your birthday each year Life assurance (x3 times salary) Pension scheme (Legal and General) Dedicated employee assistance programme Salary sacrifice options (including Cycle to Work Scheme, additional pension contributions and annual leave purchase options) Professional subscription fees Agile working arrangements Staff legal services discounts On-site coffee shop with discounted staff rates - Cardiff office Discounts at NCP parking sites - Cardiff office
If you would like to have a confidential discussion with regards to your career and your next move, or have any questions please feel free to contact careers@geldards.com.

We are committed to ensuring that the organisation removes any unnecessary barriers to the employment of any individual. We recognise that when you are living with a disability, chronic illness or neurodiversity, having some form of reasonable adjustment, whether physical or extra time for written tasks for example can allow you the opportunity to compete on equal terms. If you are subsequently invited for an interview, please let us know if there are there any adjustments we can make to the recruitment process to make it more accessible to you.

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About Geldards

Established over 100 years ago in Wales, we are a strong and successful full-service national law firm.

From our offices in Cardiff, Derby, Nottingham and London, our team of over 320 talented individuals support a broad range of clients throughout the UK, Europe and Internationally.

At our core, we are an open and friendly business with an unshakeable integrity. Our strength lies in our ability to nurture technically gifted, committed and responsible individuals. We aim to develop long term, mutually beneficial relationships with all our clients.

We deliver quality legal advice and seek to continuously improve our service by setting aspirational goals that underpin our everyday work. More effective working practices, including the use of innovative technology, and rigorous environmental targets are just some of the ways that we will continue to deliver an excellent service to both longstanding and new clients alike.

We offer high quality and practical legal advice to a broad range of private and public sector organisations including, local authorities, public bodies, charities, and government agencies as well as private individuals and families.