Compliance Executive

6 days ago

Windsor, Windsor and Maidenhead, United Kingdom Neilson Financial Services Full time £40,000 - £60,000 per year

At Neilson, we're dedicated to helping families secure financial protection for their loved ones with a range of life insurance options. We have evolved from our origins in the UK, where the business was launched in 2012, to become an award-winning international operation and leader in the global life insurance market. Today, we have offices in the USA, Canada, Ireland, and Australia.

If you are passionate about making a difference, you thrive in a fast paced and entrepreneurial environment and you want to be a part of a high performing team, we would love to hear from you

This is a hybrid role, you will need to be able to work from our Central Windsor office 1-2 times per week initially.

The Compliance Executive - Financial Promotions is responsible for supporting the Compliance Manager with the review and approval of all Neilson Financial Services' marketing collateral, in the UK, Australia and Canada.

The Compliance Executive – Financial Promotions will be required to:

  • Analyse marketing material to consider whether the promotion poses a risk of harm to customers and supports their understanding of Neilson's products.
  • Ensure promotions comply with regulatory requirements.
  • Keep accurate records of all approvals.
  • Ensure concerns are escalated, and any corrective action taken where appropriate.

Qualifications:


• Demonstrable, relevant experience in a Compliance role within financial services, with strong experience reviewing and approving marketing content. (Critical - profiles without this cannot be considered)

• An excellent understanding of FCA/CAP/ASA regulation in relation to marketing and financial promotions.

• Good knowledge of the FCA Handbook.

As this role is UK based, support, guidance and training will be provided to help the Compliance Executive – Financial Promotions to understand regulatory requirements in markets outside of the UK. Existing knowledge of these markets is not required for this role.

Required attributes:

  • Excellent written and verbal communication skills.
  • Organised and methodical nature.
  • Strong attention to detail and analytical skills.
  • A solution orientated, team player with a positive outlook.
  • Good time management skills with an ability to work effectively to deadlines and SLAs.
  • Passion for quality and driving performance
  • Good stakeholder management and relationship building skills.
  • Drive and motivation towards continuous improvement.
  • A self-starter, comfortable taking initiative and responsibility.
  • Embody the values of Neilson, and demonstrate the highest level of integrity

Accessibility For Job Applicants

We strive to make our job application process accessible to all individuals, including those with disabilities. If you require accommodation at any stage of the application, interview, or selection process, please contact our Human Resources department. Our team will work with you to provide suitable accommodations to ensure your participation.

Equal Opportunity Employer

Neilson Financial Services is an equal opportunity employer. We welcome and encourage applications from candidates of all backgrounds and abilities. Our commitment to diversity and inclusion is fundamental to our company culture.

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