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 ResponsibilitiesStay current with relevant laws, regulations, and industry standards affecting the firmConduct risk assessments and compliance audits to identify and evaluate potential compliance risksMonitor and review internal policies and procedures to ensure regulatory alignmentInterpret regulatory changes and communicate their impact clearly to management and staffAssist management in identifying and implementing solutions to compliance challengesImplement preventative and corrective measures to mitigate compliance risksProvide compliance training and guidance to employees to promote awareness and adherenceInvestigate any irregularities or non-compliance issues and report findings appropriatelyReview marketing materials, presentations, and websites to ensure regulatory complianceSupport oversight and supervision of advisers to ensure compliance with regulatory standardsPrepare reports on compliance status, risks, and issues for management reviewChampion best practices in compliance and contribute to the continuous improvement of compliance controlsWhat You'll BringKnowledge of UK financial services regulations, particularly in investment and advisory sectorsExperience with anti-money laundering, financial crime prevention, and regulatory compliance monitoringStrong analytical skills with the ability to interpret complex regulations and provide clear adviceExcellent communication skills, both written and verbal, to effectively train and inform colleaguesAttention to detail and a methodical approach to compliance tasksAbility to work collaboratively across teams and escalate issues when necessaryPrevious experience in a compliance role within financial services is preferredBenefitsCompetitive salary and benefits package27 days holiday, rising to 31 with serviceFlexible working hoursPension scheme with matched contributionsSick payEnhanced maternity, paternity, and shared parental leaveDeath in service coverRegular 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.