Compliance Executive (Part time hours / option available)

Neilson Financial Services; Windsor; Hybrid; GBP 35,000 - 45,000; Full time

Job summary

A financial services provider in Windsor is seeking a Compliance Executive to support the Compliance Manager with regulatory risk management and compliance monitoring. The ideal candidate will have strong experience in a compliance role within the financial sector and excellent communication skills. The role offers a hybrid working arrangement, allowing for a balance between office and remote work.

Qualifications

• Experience working within a Compliance, Risk and/or Governance role.
• A strong knowledge of the FCA Handbook and Consumer Duty.
• Excellent written and verbal communication skills.

Responsibilities

• Oversee the Compliance Query Mailbox.
• Assist with Compliance Monitoring Activity.
• Contribute to the review of vulnerable customer cases.

Skills

Compliance knowledge

Regulatory knowledge

Attention to detail

Organisational skills

Communication skills

Job description

This is a full time, permanent position, however we will consider reduced hours / part time if preferable.

The role is offered on a hybrid contract, 2-3 days a week in our Windsor office, 2-3 days a week working from home.

To be considered for this role you must currently reside in the UK.

We are not able to provide sponsorship for this position.

At Neilson, we help families put financial protection in place for their loved ones. We are a Life insurance provider who offers a wide range of first class Life insurance products via multiple direct brands and corporate partnerships. We believe in offering our customers straightforward life insurance.

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

The Compliance Executive is responsible for supporting the Compliance Manager with the delivery of Neilson Financial Services’ (Neilson’) Compliance Activity Plan, to help the Compliance team ensure effective and proportionate management of Neilson’ legal and regulatory risk.

The Compliance Executive will be expected to advise the business on regulatory matters, promote an effective compliance culture and contribute towards 2nd Line of Defence risk management activity.

Duties and responsibilities:

• Oversee the Compliance Query Mailbox to ensure requests are dealt with in line with internal SLAs.
• Support the Compliance Team in the delivery of the Compliance Activity Plan, where required.
• Assist with Compliance Monitoring Activity, contributing to scope discussions, audit testing, and audit report writing.
• Administer the ‘outstanding audit items’ tracker, ensuring that action owners provide timely updates and all actions are tracked through to completion.
• Contribute to the review of vulnerable customer cases and financial crime reviews.
• Manage the ‘Contracts Mailbox’ ensuring that the Supplier Onboarding Process is administered effectively.
• Maintain an up-to-date knowledge of Neilson’ products, systems and processes.
• Undertake compliance and data protection due diligence and ongoing monitoring of new partnerships/outsourcing/affiliate arrangements.
• Keep up to date with upcoming changes to the regulatory environment, contributing towards the Compliance Team’s horizon scanning activity.
• Assist the Compliance Manager with maintenance of the Conflicts of Interest and Gifts registers.
• Provide accurate, considered and timely responses to ad hoc compliance related queries from business stakeholders.
  
  

Qualifications

Prerequisite knowledge and experience:

• Experience working within a Compliance, Risk and/or Governance role or for a regulatory body, within the financial services sector - Essential - ideally within a regulated environment
• A strong knowledge of the FCA Handbook and Consumer Duty.
• An understanding of FCA/CAP/ASA regulation in relation to marketing and financial promotions.

Preferred attributes:

• Excellent written and verbal communication skills.
• Organised and methodical nature.
• Strong attention to detail and analytical skills.
• High degree of adaptability and willingness to embrace change.
• A team player with a positive outlook.
• Good time management skills with an ability to work effectively to deadlines
• Passion for quality and driving performance
• Excellent 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