At a Glance
- Tasks: Support compliance in financial promotions, ensuring they meet FCA and MiFID regulations.
- Company: Join WealthKernel, an award-winning FinTech 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 hands-on experience with industry professionals.
- Why this job: Make a real impact in the financial sector while developing your skills in a supportive team.
- Qualifications: Attention to detail, strong communication skills, and a passion for compliance and finance.
The predicted salary is between 36000 - 60000 £ per year.
Join to apply for the Compliance Analyst (Financial Promotions) role at WealthKernel.
About The Company
WealthKernel is a VC‑backed, award‑winning FinTech company that specializes in the Wealth Management industry. With a commitment to making financial services better and more accessible, WealthKernel is an API‑first technology company on a mission to become the AWS of savings, investment, and pension infrastructure. This is a remote position.
About The Job
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 MiFID 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 MiFID 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 management information (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 MiFID product promotions, with a particular focus on derivative backed investments.
- Good written and verbal communications 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. We want you to propose and try new things. We believe in results. We don’t micromanage. We trust you. You will have the opportunity to grow and develop your skills into new areas while working in an open, creative, and collaborative environment. You will work hands‑on with experienced professionals who will always be one click away from you 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.
If you have the confidence, energy, and passion to take on this challenging role and join a unique firm, please get in touch!
Compliance Analyst - Financial Promotions employer: WealthKernel
WealthKernel is an exceptional employer that champions a transparent and empowering work culture, allowing Compliance Analysts to thrive in a collaborative remote environment. With a focus on professional growth, competitive pay, and the opportunity to engage with experienced professionals, employees are encouraged to innovate and develop their skills while contributing to the mission of making financial services more accessible. The company's commitment to a positive multicultural atmosphere and regular team retreats further enhances the employee experience.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Analyst - Financial Promotions
✨Tip Number 1
Network like a pro! Reach out to folks in the industry, especially those already at WealthKernel. A friendly chat can sometimes open doors that applications alone can't.
✨Tip Number 2
Prepare for the interview by brushing up on FCA rules and MiFID regulations. Show us you know your stuff, especially when it comes to derivatives and complex products!
✨Tip Number 3
Don’t just apply; engage with our content online! Comment on our posts or share insights related to financial promotions. It shows initiative and helps you stand out.
✨Tip Number 4
Follow up after your interview! A quick thank-you email can leave a lasting impression. Remind us why you're the perfect fit for the Compliance Analyst role.
We think you need these skills to ace Compliance Analyst - Financial Promotions
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Compliance Analyst role. Highlight your experience with financial promotions and compliance, especially in relation to FCA rules. We want to see how your skills align with what we're looking for!
Show Off Your Attention to Detail:Since this role requires a keen eye for compliance issues, be sure to showcase examples where you've successfully identified and resolved such issues in your previous work. We love candidates who can spot the finer details!
Be Clear and Concise:When writing your application, keep it straightforward and to the point. Use clear language and avoid jargon unless it's relevant to the role. We appreciate clarity just as much as you do!
Apply Through Our Website:We encourage you to submit your application directly through our website. It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it’s super easy!
How to prepare for a job interview at WealthKernel
✨Know Your Regulations
Familiarise yourself with FCA rules, especially COBS and MiFID regulations. Being able to discuss these in detail will show your understanding of the compliance landscape and how it relates to financial promotions.
✨Showcase Your Attention to Detail
Prepare examples from your past experiences where you identified compliance issues or improved processes. Highlighting your ability to spot discrepancies in written materials will demonstrate your fit for the role.
✨Be Ready to Collaborate
Since this role involves working with various business teams, be prepared to discuss how you've successfully collaborated in the past. Mention any tools like Slack or Google Meet that you've used to enhance communication and project management.
✨Ask Insightful Questions
Prepare thoughtful questions about WealthKernel's approach to compliance and their current challenges in financial promotions. This shows your genuine interest in the company and the role, and it can help you stand out as a candidate.
