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
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* 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