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- Tasks: Join us as a Compliance Officer, ensuring our firm meets all regulatory standards.
- Company: We're a respected investment management and financial advisory firm based in Swansea.
- Benefits: Enjoy flexible working hours, 27 days holiday, and a competitive salary package.
- Why this job: Make a real impact by maintaining our integrity and promoting compliance awareness.
- Qualifications: Knowledge of UK financial regulations and previous compliance experience preferred.
- Other info: This part-time role offers a chance to grow in a supportive environment.
The predicted salary is between 36000 - 60000 £ per year.
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.
Compliance Officer employer: Brook Street
Contact Detail:
Brook Street Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer
✨Tip Number 1
Familiarise yourself with the latest UK financial services regulations, especially those related to investment and advisory sectors. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the compliance sector, particularly those working in financial services. Attend industry events or join relevant online forums to build connections that could lead to referrals or insider information about the role.
✨Tip Number 3
Prepare to discuss specific compliance challenges you've faced in previous roles and how you addressed them. This will showcase your problem-solving skills and proactive approach, which are crucial for a Compliance Officer.
✨Tip Number 4
Demonstrate your analytical skills by being ready to interpret complex regulations during the interview. Practice explaining these regulations in simple terms, as this will highlight your ability to communicate effectively with colleagues.
We think you need these skills to ace Compliance Officer
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Officer. Familiarise yourself with the key tasks mentioned in the job description, such as conducting risk assessments and ensuring regulatory compliance.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance, particularly within financial services. Emphasise your knowledge of UK financial regulations and any previous roles that involved anti-money laundering or regulatory compliance monitoring.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and your understanding of the firm's needs. Mention specific examples of how you've successfully managed compliance risks or implemented solutions in past roles.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, as attention to detail is crucial in compliance roles. A polished application reflects your professionalism and commitment.
How to prepare for a job interview at Brook Street
✨Know Your Regulations
Familiarise yourself with UK financial services regulations, especially those relevant to investment and advisory sectors. Be prepared to discuss how these regulations impact the firm and demonstrate your understanding of compliance requirements.
✨Showcase Your Analytical Skills
Prepare examples that highlight your analytical skills, particularly in interpreting complex regulations. Discuss any previous experiences where you successfully identified compliance risks and implemented solutions.
✨Communicate Clearly
Since excellent communication is key for this role, practice articulating your thoughts clearly and concisely. Be ready to explain how you would train colleagues on compliance matters and ensure they understand their responsibilities.
✨Demonstrate Attention to Detail
During the interview, provide specific examples of how your methodical approach has helped you in past compliance roles. Highlight instances where your attention to detail prevented potential compliance issues.