Compliance Executive - Financial promotions

Neilson Financial Services; Windsor; Hybrid; GBP 35,000 - 50,000; Full time

Benefits offered by this job

Competitive salary package

Life Assurance from day 1

Employee Assistance Programme

Local discounts for coffee outlets and restaurants

Free fruit and flu vaccinations

Cycle to work scheme

Exceptional training

Pension and 25 days holiday

Job summary

Neilson Financial Services seeks a Compliance Executive to support compliance for marketing promotions across the UK, Australia, and Canada. The role involves analyzing marketing materials, ensuring regulatory compliance, and maintaining accurate records. Ideal candidates will have relevant compliance experience and strong analytical skills.

Qualifications

• Demonstrable experience in a Compliance role with strong marketing content review.
• Excellent understanding of FCA regulations related to marketing.
• Good knowledge of the FCA Handbook.

Responsibilities

• Support the Compliance Manager with marketing collateral review.
• Ensure promotions comply with regulatory requirements.
• Keep accurate records of all approvals.

Skills

Analytical skills

Communication skills

Attention to detail

Organizational skills

Education

Experience in a Compliance role within financial services

Understanding of FCA/CAP/ASA regulation

Job description

Compliance Executive - Financial promotions

Compliance Executive - Financial promotions

1 week ago Be among the first 25 applicants

Neilson Financial Services provides the UK markets with innovative, customer-focused, life insurance products. With our comprehensive, affordable policies, we make a difference in people’s lives by giving them certainty about caring for others: we are there for them when they can’t be there for their loved ones.

We’ve evolved from our origins in the UK to become aninternational operation with offices in the USA, Canada, Ireland, the UK and Australia, with ourhead office based in Windsor and anin-house digital marketing agency, Thinkbait, based in Dublin, Ireland. Having multiple locations worldwide enables Neilson to attract the absolute best people, allowing us to achieve our aim of being a leading global provider of life insurance.

We aim to provide a comprehensive range of innovative products and deliver exemplary service levels to our customers and corporate partners, providing a consistently high quality, fully integrated customer experience. We’ve been awarded Feefo’s top rating, the Trusted Merchant Gold Award, for our outstanding customer service.

Neilson Financial Services provides the UK markets with innovative, customer-focused, life insurance products. With our comprehensive, affordable policies, we make a difference in people’s lives by giving them certainty about caring for others: we are there for them when they can’t be there for their loved ones.

We’ve evolved from our origins in the UK to become aninternational operation with offices in the USA, Canada, Ireland, the UK and Australia, with ourhead office based in Windsor and anin-house digital marketing agency, Thinkbait, based in Dublin, Ireland. Having multiple locations worldwide enables Neilson to attract the absolute best people, allowing us to achieve our aim of being a leading global provider of life insurance.

We aim to provide a comprehensive range of innovative products and deliver exemplary service levels to our customers and corporate partners, providing a consistently high quality, fully integrated customer experience. We’ve been awarded Feefo’s top rating, the Trusted Merchant Gold Award, for our outstanding customer service.

Job Description

This is a hybrid role, you will need to be able to work from our Central Windsor office 2-3 times per week.

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
  
  

Additional Information

• A competitive salary package
• 40 hours per week Monday to Friday, 9am - 6pm
• Fancy a morning brew? We have that covered! Tea, coffee, and milk provided!
• Life Assurance from day 1 so you are protected too
• Employee Assistance Programme to help and support with life stuff!
• We have plenty of local discounts for coffee outlets, restaurants, cinemas and gyms
• Free fruit, Flu Vaccinations, Cycle to work scheme, Eye Test/Glasses Vouchers, looking after your wellbeing!
• Exceptional training – giving you all the tools to succeed throughout your NFS career!
• Pension & 25 days holiday

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  General Business

• Industries

  Insurance

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