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
* Stay current with relevant laws, regulations, and industry standards affecting the firm
* Conduct risk assessments and compliance audits to identify and evaluate potential compliance risks
* Monitor and review internal policies and procedures to ensure regulatory alignment
* Interpret regulatory changes and communicate their impact clearly to management and staff
* Assist management in identifying and implementing solutions to compliance challenges
* Implement preventative and corrective measures to mitigate compliance risks
* Provide compliance training and guidance to employees to promote awareness and adherence
* Investigate any irregularities or non-compliance issues and report findings appropriately
* Review marketing materials, presentations, and websites to ensure regulatory compliance
* Support oversight and supervision of advisers to ensure compliance with regulatory standards
* Prepare reports on compliance status, risks, and issues for management review
* Champion best practices in compliance and contribute to the continuous improvement of compliance controls
What You’ll Bring
* Knowledge of UK financial services regulations, particularly in investment and advisory sectors
* Experience with anti-money laundering, financial crime prevention, and regulatory compliance monitoring
* Strong analytical skills with the ability to interpret complex regulations and provide clear advice
* Excellent communication skills, both written and verbal, to effectively train and inform colleagues
* Attention to detail and a methodical approach to compliance tasks
* Ability to work collaboratively across teams and escalate issues when necessary
* Previous experience in a compliance role within financial services is preferred
Benefits
* Competitive salary and benefits package
* 27 days holiday, rising to 31 with service
* Flexible working hours
* Pension scheme with matched contributions
* Sick pay
* Enhanced maternity, paternity, and shared parental leave
* Death in service cover
* Regular social events (Christmas party, summer party, and more)
* Support for professional qualifications
Apply now or contact Luke at Brook Street for more information