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

Brook Street NMR is acting as an Employment Agency in relation to this vacancy