Skip to main content

This job has expired

Compliance Executive Level 1

Recruiter
Wealthify Limited
Location
United Kingdom
Salary
Competitive
Closing date
31 May 2022

View more

Employer Sector
Banking & Finance - Retail
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance, Compliance & Regulation
Compliance Executive - First Line

Wealthify

Wealthify is an ambitious, multi-award-winning online investment company located in Penarth, Wales. We're here to inspire anyone to build their future wealth, and we do this by making investing easy, affordable, and accessible.

We want to inspire as many people to invest as possible. We're rapidly growing, and so we're hiring talented people who are purpose driven and want to use and develop their skills to deliver an awesome experience to our customers.

Our team is engaging, inquisitive, and inclusive, reflecting many different beliefs and backgrounds. We welcome people who can bring diversity to our team, and work towards a shared goal to deliver an exceptional investment experience.

What your job will be:

Working within a small team, you'll assist the Head of Compliance to ensure Wealthify is, and remains, within the industry's regulatory framework.

Key duties will be
  • Ensuring our products are remain compliant and within regulatory standards
  • Actively involved in the policies and processes (including testing and training) for products that Wealthify offer
  • Review and approval of financial promotions to ensure regulatory compliance
  • Auditing client reporting and operational communications
  • Compliance monitoring of customer communications
  • The creation of conduct risk MI and other statistical analysis
  • Contribute to robust and effective compliance controls within the organisation
  • Keep up to date with and understand relevant laws and regulations
  • Assist in the gathering of internal information in response to regulatory requests.

Skills we're looking for:

We value simplicity, communication, teamwork, trust, and confidence. These core values are what make us tick and keep us all on the same page - not just with how we work individually, but how we engage with each other and the service we offer.
  • Previous experience working in a compliance related role preferably within a financial services regulated business.
  • Minimum of 5 GCSEs including Maths and English at grade C or above.

What else we're looking for:
  • A team player - friendly, personable, diligent, empathetic, well organised
  • Confident with multi-tasking whilst holding the ability to pay attention to the detail
  • An aptitude for computer-based work - a good level of Microsoft Office knowledge and an ability to learn new systems quickly
  • Hard working and can 'get on with it'- a natural passion to want to work hard and be proud of your work quality and ethic
  • Strong organisational and communication skills are paramount

What you'll get from us
  • Competitive salary
  • 24 days holiday a year - plus bank holidays (you'll earn an extra day holiday for each full year you're with us, up to 28 days)
  • Flexible working hours 37.5 hours a week between 8am - 6:30pm Monday to Friday

Following the pandemic, we are currently working from home through a hybrid approach, and all interviews will be carried out remotely. Our offices have recently been refurbished to allow for collaborative working once we can return, although there is scope for remote working where the role and team deliveries allow.

And we have plenty of perks too!
  • Annual bonus between 0-20% of your annual salary which is linked to both the company and individual performance
  • Private Medical Insurance
  • Death in Service cover (x3 your annual salary)
  • Income Protection Insurance
  • Company Pension Plan
  • Healthify - a team to support the health and wellbeing of all staff at Wealthify
  • Ministry of Fun - providing plenty of social activities and events throughout the year
  • Brand new offices in the picturesque Penarth Marina
  • Free gym within our Tec Marina offices
  • Free parking nearby
  • A collaboration space and games room
  • We're a responsible company and are constantly working to improve our culture, ethics, impact on the environment, and our contribution to charitable causes

Get job alerts

Create a job alert and receive personalised job recommendations straight to your inbox.

Create alert