Compliance Officer- Financial Services
| Posting date: | 15 May 2025 |
|---|---|
| Hours: | Part time |
| Closing date: | 14 June 2025 |
| Location: | Swansea, Swansea, SA2 0QX |
| Company: | Brook Street |
| Job type: | Permanent |
| Job reference: | BBBH409215_1747320738 |
Summary
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
- 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
- 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.