At a Glance
- Tasks: Review and approve financial promotions, ensuring compliance with FCA rules and regulations.
- Company: Join WealthKernel, an award-winning FinTech company on a mission to revolutionise financial services.
- Benefits: Enjoy competitive pay, 22 days holiday, and a fully remote work environment.
- Other info: Collaborative culture with opportunities for growth and learning from experienced professionals.
- Why this job: Make a real impact in the financial sector while developing your skills in a supportive team.
- Qualifications: Strong attention to detail and interest in financial services; experience with MiFID promotions is a plus.
The predicted salary is between 40500 - 49500 £ per year.
- Compliance Analyst - Financial Promotions
- Join to apply for the
- Compliance Analyst - Financial Promotions role at
Wealth Kernel .
About the company: Wealth Kernel is a VC-backed, award-winning Fin Tech company that specializes in the Wealth Management industry.
With a commitment to making financial services better and more accessible, Wealth Kernel is an API-first technology company on a mission to become the AWS of savings, investment, and pension infrastructure.
The Compliance Analyst (Financial Promotions) will support the firm’s Compliance team in ensuring that all client communications, marketing materials, and financial promotions comply with FCA rules (COBS and COBS 4 in particular), UK Mi FID regulations and internal policies.
The role will have a specific focus on derivatives and complex investment products, providing support to business teams and helping to ensure that promotions are appropriate, fair, clear and not misleading.
Key Responsibilities
- Review and Approval
- Assist in the review of financial promotions and marketing material (digital, print, social media, websites, client communications), with particular emphasis on derivatives ensuring compliance with FCA and Mi FID rules.
- Maintain records of all promotions and related approvals in line with FCA record‑keeping requirements.
- Monitoring & Control
- Support monitoring activities relating to financial promotions, identifying potential risks or breaches, especially in derivatives marketing.
- Assist in maintaining the firm’s Financial Promotions Register.
- Monitor external communications to ensure consistency with regulatory standards and approved content.
- Advisory & Support
- Provide guidance to business teams on compliance with financial promotions rules.
- Help develop training materials and deliver basic training to business teams on compliant communications for complex products.
- Policy & Process
- Support the maintenance of the firm’s Financial Promotions Policy and related procedures.
- Assist in identifying improvements to compliance workflows for promotion review and approval.
- Regulatory Engagement
- Assist in preparing MI and reports for senior management, including information required by regulators.
- Keep up to date with regulatory developments relating to financial promotions, derivatives, and complex instruments.
Requirements
- Strong attention to detail and ability to spot compliance issues in written materials.
- Experience reviewing Mi FID product promotions, with a particular focus on derivative‑backed investments.
- Good written and verbal communication skills.
- Ability to work collaboratively with different business areas.
- Organised, with good record‑keeping and time‑management skills.
- Demonstrable interest in financial services and compliance.
- Strong track record of using digital collaboration tools (Slack, Google Meet, Notion, Jira, etc.) to manage projects, share updates and maintain transparency while working remotely.
- Proven ability to work independently, manage priorities, and deliver results without direct supervision, including experience working with asynchronous workflows.
- Nice‑to‑haves
- Degree in Law, Finance, Economics, Business or related field.
- Knowledge of the FCA Handbook, particularly COBS, COBS 4 (financial promotions), derivatives rules and the FCA’s Consumer Duty.
- Prior experience (internship or entry‑level role) in compliance, legal or risk within financial services.
- Familiarity with digital marketing channels and associated compliance challenges.
- Experience working in a fully remote or hybrid environment.
Benefits
- We believe in transparency and empowering people.
- We want you to challenge us and also to accept being challenged.
- We want you to learn from your mistakes and to propose and try new things.
- We believe in results. We don’t micromanage. We trust you.
- Opportunity to grow and develop your skills into new areas while working in an open, creative, and collaborative environment.
- Work hands‑on with experienced professionals who will always be one click away if you need their help.
- Company Benefits
- Working in a multicultural environment.
- A positive and collaborative working culture.
- Competitive pay package.
- 22 days of holidays (plus bank holidays).
- Remotely based position (forever!).
- Company team retreats.
- Seniority level
- Entry level
- Employment type
- Full‑time
- Job function
- Finance
If you have the confidence, energy, and passion to take on this challenging people role and join a unique firm, please get in touch!
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Compliance Analyst - Financial Promotions employer: WealthKernel
Join a dynamic VC-backed FinTech company in London that prioritises employee growth and development while offering a fully remote work environment. With a strong focus on compliance and innovation, this role provides an excellent opportunity for entry-level applicants to gain valuable experience in the financial sector, supported by a competitive pay package and a collaborative work culture that values attention to detail and regulatory excellence.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Analyst - Financial Promotions
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like WealthKernel looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Analyst - Financial Promotions
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at WealthKernel. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at WealthKernel
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with WealthKernel’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
