Job Description
Our client, a respected investment management and financial advisory firm based in Swansea, is seeking a diligent and proactive Compliance Officer to support their compliance function. This is an excellent opportunity for a compliance professional to contribute to maintaining the firm's integrity, managing regulatory risks, and ensuring adherence to financial services regulations.
This is a part-time role, ideally spread over 3-4 days (no less than 24 hours/week)
Key Responsibilities
1. Stay current with relevant laws, regulations, and industry standards affecting the firm
2. Conduct risk assessments and compliance audits to identify and evaluate potential compliance risks
3. Monitor and review internal policies and procedures to ensure regulatory alignment
4. Interpret regulatory changes and communicate their impact clearly to management and staff
5. Assist management in identifying and implementing solutions to compliance challenges
6. Implement preventative and corrective measures to mitigate compliance risks
7. Provide compliance training and guidance to employees to promote awareness and adherence
8. Investigate any irregularities or non-compliance issues and report findings appropriately
9. Review marketing materials, presentations, and websites to ensure regulatory compliance
10. Support oversight and supervision of advisers to ensure compliance with regulatory standards
11. Prepare reports on compliance status, risks, and issues for management review
12. Champion best practices in compliance and contribute to the continuous improvement of compliance controls
What You'll Bring
13. Knowledge of UK financial services regulations, particularly in investment and advisory sectors
14. Experience with anti-money laundering, financial crime prevention, and regulatory compliance monitoring
15. Strong analytical skills with the ability to interpret complex regulations and provide clear advice
16. Excellent communication skills, both written and verbal, to effectively train and inform colleagues
17. Attention to detail and a methodical approach to compliance tasks
18. Ability to work collaboratively across teams and escalate issues when necessary
19. Previous experience in a compliance role within financial services is preferred
Benefits
20. Competitive salary and benefits package
21. 27 days holiday, rising to 31 with service
22. Flexible working hours
23. Pension scheme with matched contributions
24. Sick pay
25. Enhanced maternity, paternity, and shared parental leave
26. Death in service cover
27. Regular social events (Christmas party, summer party, and more)
28. Support for professional qualifications