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For Companies At a Glance
- Tasks: Support compliance functions, conduct audits, and ensure regulatory adherence.
- Company: Join a respected investment management firm in Swansea with a strong reputation.
- Benefits: Enjoy flexible hours, 27 days holiday, and a competitive salary package.
- Why this job: Make a real impact on compliance while working in a supportive and dynamic environment.
- Qualifications: Knowledge of UK financial regulations and previous compliance experience preferred.
- Other info: Part-time role, ideal for balancing studies or other commitments.
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 (Swansea) employer: Brook Street
Contact Detail:
Brook Street Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer (Swansea)
✨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 current in the field.
✨Tip Number 2
Network with professionals in the compliance field, particularly those working in financial services. Attend industry events or join relevant online forums to build connections that could lead to valuable insights or referrals for 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
Research the company’s values and recent developments in their compliance practices. Tailoring your conversation to align with their goals during interviews can set you apart as a candidate who is genuinely interested in contributing to their success.
We think you need these skills to ace Compliance Officer (Swansea)
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Compliance Officer position. Tailor your application to highlight relevant experience in compliance, particularly within financial services.
Highlight Relevant Experience: In your CV and cover letter, emphasise your knowledge of UK financial services regulations and any previous compliance roles you've held. Use specific examples to demonstrate your analytical skills and ability to interpret complex regulations.
Craft a Strong Cover Letter: Your cover letter should clearly articulate why you're a great fit for this role. Discuss your proactive approach to compliance, your experience with risk assessments, and how you can contribute to maintaining the firm's integrity.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for a Compliance Officer.
How to prepare for a job interview at Brook Street
✨Know Your Regulations
Make sure you brush up on UK financial services regulations, especially those related to investment and advisory sectors. Being able to discuss specific regulations and how they impact the firm will show your expertise and preparedness.
✨Demonstrate Analytical Skills
Prepare to showcase your analytical skills by discussing past experiences where you've interpreted complex regulations or conducted risk assessments. Use specific examples to illustrate how you 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 communicate regulatory changes effectively.
✨Show Attention to Detail
Highlight your methodical approach to compliance tasks during the interview. You might be asked about how you ensure accuracy in compliance audits or reviews, so be prepared with examples that demonstrate your attention to detail.
