Compliance Officer- Financial Services

Brook Street; Swansea; On-site; GBP 30,000 - 40,000; Part time

Job summary

A respected investment management firm in Swansea seeks a part-time Compliance Officer. This role involves managing regulatory risks, ensuring adherence to financial services regulations, and supporting compliance training. Ideal for a proactive compliance professional with relevant experience.

Qualifications

• Knowledge of UK financial services regulations.
• Experience with anti-money laundering and financial crime prevention.
• Previous experience in a compliance role within financial services.

Responsibilities

• Conduct risk assessments and compliance audits.
• Monitor internal policies for regulatory alignment.
• Provide compliance training and guidance to employees.

Skills

Analytical Skills

Communication

Attention to Detail

Education

Compliance Certification

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

• 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