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About the company
WealthKernel, now proudly part of AlpacaDB, is an award-winning FinTech specialising in the wealth management industry. With a shared commitment to making financial services better, more accessible, and globally scalable, WealthKernel builds modern, API-driven infrastructure that powers savings, investment, and pension products across Europe.
As part of the Alpaca family, we combine our regional expertise in European wealth infrastructure with a powerhouse global trading platform to revolutionize how financial products are built and delivered.
About the job
We are looking for a full-time Compliance Manager with direct experience in wealth management/brokerage/trading compliance or compliance oversight. 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.
Job Responsibilities
- Support and challenge business owners to ensure that policies, processes, and decisions align to consumer duty and put the customer at the heart of the business.
- Support the delivery of the compliance monitoring programme, identifying risks, gaps, and/or improvements, working with stakeholders to agree and document actions to correct and mitigate going forward.
- Provide proportionate advice, support, and guidance to the business to ensure the business meets its regulatory obligations whilst evolving and meeting its strategic goals.
- Work with the business to ensure existing and new products/initiatives meet PROD and consumer duty guidelines through product design and approval processes.
- Ensure the business remains up to date with regulatory guidelines, rules and principles, relevant laws and industry best practices that are relevant to the business, by interpreting the detail and adapting the messaging to the audience, working with key stakeholders to identify and propose required changes to the appropriate committees.
- Support the Compliance team with answering compliance queries, approval of marketing communications, complaint handling, data protection rights requests, and due diligence of new and existing third parties that WealthKernel works with.
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Requirements
You’ll be successful if you have…
- 5+ years of direct experience in fintech/brokerage/trading compliance
- Knowledge of FCA Handbook and Rules particularly COBS, CASS, PROD and SYSC
- Knowledge of crypto regulations
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Benefits
Why us?
- We Own the Results & Keep It Real: We focus on results, not micromanagement. We trust you to take full responsibility and make tough calls. We expect honest, transparent, and straight-to-the-point communication across the board.
- We Stay Curious & Solve Problems: We don't accept the status quo. We want you to deeply understand context, always ask why, propose new things, and use every tool at your disposal to solve problems without constraints.
- We Have Humility & Drive Integrity: We expect you to challenge us and be open to being challenged—because ego clouds progress. We are a team that empowers one another, values validation, and always chooses what's right over what's easy.
- You will have the opportunity to grow and develop your skills into 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.
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