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.
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
- 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 firstname.lastname@example.org