This is a hybrid role, requiring presence at our Central Windsor office 2-3 times per week.
Job Description
The Compliance Executive - Financial Promotions supports the Compliance Manager in reviewing and approving marketing collateral for Neilson Financial Services in the UK, Australia, and Canada.
The responsibilities include:
1. Analyzing marketing materials for customer harm and clarity of Neilson’s products.
2. Ensuring promotions comply with regulatory standards.
3. Maintaining accurate approval records.
4. Escalating concerns and implementing corrective actions when necessary.
Qualifications
* Relevant experience in a Compliance role within financial services, with a focus on marketing content approval. (Essential)
* Deep understanding of FCA/CAP/ASA regulations related to marketing and financial promotions.
* Good knowledge of the FCA Handbook.
Support and training will be provided for understanding regulatory requirements outside the UK. Prior knowledge of these markets is not required.
Required Attributes
* Excellent communication skills, both written and verbal.
* Organized, methodical, with strong attention to detail.
* Analytical mindset and solution-oriented approach.
* Team player with a positive attitude.
* Effective time management skills, capable of meeting deadlines.
* Passion for quality and continuous improvement.
* Strong stakeholder management skills.
* Self-motivated, proactive, and responsible.
* High integrity and alignment with Neilson’s values.
Additional Information
* Competitive salary package.
* Standard hours: 40 hours/week, Monday to Friday, 9am - 6pm.
* Employee benefits include free tea, coffee, milk, life assurance, assistance programs, discounts, health initiatives, and training opportunities.
* Pension and 25 days holiday.
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