Compliance Executive - Financial promotions
Compliance Executive - Financial promotions
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Job Description
This is a hybrid role you will need to be able to work from our Central Windsor office 23 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 Neilsons 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 selfstarter 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
Remote Work :
No
Employment Type :
Fulltime
Employment Type
Full-time
