drjobs Senior Compliance Executive - Financial Promotions

Senior Compliance Executive - Financial Promotions

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1 Vacancy
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Job Location drjobs

Windsor - UK

Monthly Salary drjobs

Not Disclosed

drjobs

Salary Not Disclosed

Vacancy

1 Vacancy

Job Description

Duties & responsibilities:

  • Review marketing material to ensure adverts meet regulatory requirements and internal guidelines are clear fair and not misleading and support customer understanding.
  • Where promotions are not approved deliver constructive solution-orientated feedback to Neilsons Marketing Teams.
  • Ensure a full record of all marketing submissions and Compliance feedback is maintained and auditable.
  • Ensure that all recommended corrective actions are taken and concerns are appropriately escalated.
  • Attend collaboration sessions with Neilsons Marketing Team (ThinkBait) supporting the Compliance Manager with initiatives designed to improve quality and performance between the teams.
  • Maintain Neilsons financial promotions register including the creation of management information to monitor performance against key performance/risk indicators.
  • Keep up to date with upcoming changes to the regulatory environment and internal guidance notes produced by local Compliance teams.
  • Support the Compliance Manager with root cause and trend analysis of rejected marketing collateral and timeframes for approval.
  • Support the Compliance Manager in assigning work to the Financial Promotions Team members spotting checking items approved by members of the team and providing feedback where required.
  • Updating resources and training materials provided to marketing to support with the creation of compliant marketing collateral
  • Support the Compliance Manager with the design and implementation of process improvement initiatives designed to improve first time approval rate of marketing collateral and reduce turnaround times.
  • Attending meetings with various business stakeholders.
  • Collation of monthly team performance reports and MI.

 

 


Qualifications :

  • Demonstrable (ideally 3 years ) experience in a Compliance role within financial services with experience reviewing and approving marketing materials.
  • An excellent understanding of FCA/CAP/ASA regulation in relation to marketing and financial promotions.
  • 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.
  • Comfortable providing written and verbal feedback to colleagues
  • 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 :

Benefits include:

Hybrid working

25 days holiday bank holidays

Healthcare

Pension

Life Insurance

Retail discounts


Remote Work :

No


Employment Type :

Full-time

Employment Type

Full-time

Company Industry

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