Compliance Manager (ARs)
Posted on Wednesday, October 18, 2023
About the company…
WealthKernel is a VC-backed, award-winning FinTech company whose mission is to enable change that makes financial services better for everyday people. We aim to be the AWS of savings, investment, and pension infrastructure. We recently won the Startup Programme - Fintech award at the CogX Awards 2023. At the heart of WealthKernel is an API-first, DevOps culture.
About the job...
We are looking for a full-time Compliance Manager with direct experience in wealth management/brokerage/trading compliance or compliance oversight within an AR umbrella. The position presents a real opportunity for an ambitious individual looking to join a growing business and is looking to develop their career within a dynamic team spanning finance and technology.
- Working with Appointed Representatives
- Responsibility for overseeing and approving the onboarding of ARs
- Responsibility for overseeing the ongoing monitoring AR’s (including final sign off for their Financial Promotions)
- Assisting our AR’s with their FCA applications
- Assisting with FCA filings
- Being a referral point for junior members of the compliance team
Some must haves…
- Strong knowledge of FCA Handbook and Rules
- Knowledge of Anti-Money Laundering regulations and operations
- Experience in either producing/executing or overseeing a Compliance Monitoring Plan (CMP)
- Compliance oversight experience
- Strong attention to detail
- Comfortable working in a digital environment
- Comfortable working in a remotely based company
- The ability to adapt quickly to changing situations
- Ability to manage workloads well, without supervision
- As well as an ability to work unsupervised, the ideal candidate should also work well in a diverse and collaborative team environment.
- Strong supplier relations and supplier management skills.
You will really stand out if you have…
- Experience in the Appointed Representative landscape (preferably including firm onboarding, APER onboarding & AR monitoring)
- Experience as Compliance SME in AR meetings and on AR related projects
- Experience in risk management
- Experience formulating responses to complex regulatory questions based on prevailing rules and legislation
- Experience liaising with the FCA
- Auditing experience
- Managerial experience
- Experience in the fintech and/or start-up space
The ideal candidate will have a strong and diverse knowledge of the financial services sector, ideally with a minimum of 5 years of experience within compliance. You will be a self-starting problem-solver with plenty of initiative.
A candidate with compliance qualifications (i.e. CISI or ICA) would be most desirable.
- 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 in 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
- 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 exciting role, please get in touch!