Compliance Officer

Join a truly amazing team, revolutionising the world of saving & investing!

At Wealthify, we inspire people to invest. We are one of the UK’s most notable FinTech successes of the last decade, taking-on the elite world of investment managers with our simple investing service which does all the hard work for you, online or on app.

We are seeking a Compliance Officer to join our small team of Cardiff based experts supporting the Head of Compliance in maintaining high levels of corporate governance.

If you enjoy working with other professionals who believe in creating innovative solutions to problems, we encourage you to apply.

Playing a key role in our ambitious growth strategy, your key duties and responsibilities will be:

  • Involvement in the Compliance Monitoring Plan including testing, analysis, identifying improvements or remedial actions and presenting findings to senior management
  • Assisting the business in the design and implementation of new products by maximising the potential whilst remaining in line with regulatory requirements
  • Testing and training in the company compliance policies and procedures
  • Reviewing financial promotions ensuring in line with the regulatory requirements
  • Assisting the Head of Compliance with enquiries from the FCA, the Financial Ombudsman Service and other relevant authorities
  • Keeping abreast of regulatory changes such as EMIR, FATCA and MiFID II, helping to identify how these changes impact the company and working to ensure that the firm remains compliant with the new legislation
  • Client account monitoring processes in line with anti-money laundering legislation.

About You

We’d love to talk to you if you have all, or some of these skills and experiences:

  • 3+ years’ experience within a Compliance function in an FCA regulated financial institution
  • Understanding of the UK regulatory landscape ideally from working within the pensions or Wealth Management / Stockbroking arena
  • Experience of providing governance, controls and compliance advice for new product development

Key Skills

  • Excellent communication skills
  • Strong organisational and analytical skills
  • Commercial awareness
  • Problem solving

In return, aside from amazing teammates and working in one of the hottest tech start-ups, we can offer you:

  • A salary commensurate to experience
  • 24 holidays per year, increasing to 28 through length of service
  • Brand new offices with a free gym, games room and nearby free parking
  • Private Medical Insurance
  • Income Protection Insurance
  • Company Pension Plan
  • Death in Service Benefit (3 x salary)
  • Cycle to work scheme
  • Unlimited free tea and coffee

This is a great chance to join a dynamic, fun and friendly company that’s really going places. If you would like to be considered for the role, please send a copy of your C.V. to jobs@wealthify.com

Wealthify Customer Reviews

4.34 Average

341 Reviews

Anonymous

Amazing customer service, had a few issues regarding withdrawals which were my fault. Highly recommend.

Posted 1 month ago

Jeff

One of my work colleagues put me onto Wealthify. It is simple, easy to use and the communication about your portfolio and re balancing is excellent. I am hooked. I have set up a monthly DD and transfer spare cash no matter how small to build the portfolio. I am maxed on ISA contributions elsewhere so am using it just for supplemental trades.

Posted 1 month ago

Jonah C

I'm huge on personal finance, investing and saving. And, for me, Wealthify has allowed me to set up my investment fund, make use of my ISA allowance and make contributions / investments on auto-pilot. I knew that investing into Stocks, Shares, Bonds, Property and so on were all great, long term things to do, but Wealthify has made it easy and dummy-proof... I love it already!

Posted 2 months ago

Chris L

I have found it extremely easy to set up and monitor my ISA. There is plenty of information about stock movements being made on my behalf and it feels like a very personal service being offered by this young company.

Posted 2 months ago

Anxhelino

Staff is very friendly and quick to respond to any questions that I had. Everything is extremely transparent with emails when they are making drastic changes in the investment plan and as for performance, they did really put my money to work hard with good investment choices and a truly diversified portfolio.

Posted 2 months ago

Giada

Lovely customer service, decent returns, easy account to open and close. Overall very satisfied!

Posted 3 months ago

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