Compliance Analyst - Financial Promotions
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.
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 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 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.
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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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