Financial Advisor/Compliance Officer

Brook Street NMR; Swansea; On-site; GBP 24,000 - 36,000; Part time

Job summary

A leading investment management and financial advisory firm in Swansea is seeking a Compliance Officer to join their team on a part-time basis. The role involves managing regulatory risks, conducting compliance audits, and ensuring adherence to financial regulations. Ideal candidates should have knowledge of UK financial services regulations and experience in compliance within the financial sector.

Benefits

27 days holiday, rising to 31 with service

Pension scheme with matched contributions

Sick pay

Enhanced maternity, paternity, and shared parental leave

Death in service cover

Regular social events

Support for professional qualifications

Qualifications

• Knowledge of UK financial services regulations, particularly in investment and advisory sectors.
• Experience with anti-money laundering and regulatory compliance monitoring.
• Strong analytical and communication skills.

Responsibilities

• Conduct risk assessments and compliance audits.
• Monitor and review internal policies for regulatory alignment.
• Implement corrective measures to mitigate compliance risks.

Skills

Analytical skills

Attention to detail

Communication skills

Education

Experience in compliance

Job description

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Financial Advisor/Compliance Officer, Swansea

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Client:

Brook Street NMR

Location:

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

3241da5a3f0f

Job Views:

11

Posted:

22.06.2025

Expiry Date:

06.08.2025

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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
• Competitive salary and benefits package
• 27 days holiday, rising to 31 with service
• 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.