Senior Compliance Executive - Financial Promotions

This is a hybrid position, initially 2-3 days a week in our Windsor office, once fully trained and settled this will drop to circa 2-3 days a month.

We are not able to provide sponsorship for this opportunity unfortunately. 

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 an international operation with offices in the USA, Canada, Ireland, the UK and Australia, with our head office based in Windsor and an in-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.

To support our expansion strategy, Neilson is seeking a talented and driven Senior Compliance Executive to join a newly formed team within its Compliance department, focusing upon financial promotion approvals. 

The Senior Compliance Executive (Financial Promotions) will be tasked with reviewing and approving marketing collateral across all our markets, whilst supporting the Compliance Manager (Financial Promotions) to manage workloads and service level adherence, develop innovative solutions to improve the efficiency of the approval process, and compile performance reports for senior stakeholders. 

This is an exciting opportunity to join a highly ambitious and entrepreneurial firm with an appetite for success and a proven ability to grow rapidly within its markets.

The successful candidate will be able to demonstrate the ability to work collaboratively with stakeholders from both Marketing and Compliance, ensuring regulatory requirements are met whilst supporting innovation and success of marketing initiatives

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 Neilson’s 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 Neilson’s Marketing Team (ThinkBait), supporting the Compliance Manager with initiatives designed to improve quality and performance between the teams.
• Maintain Neilson’s 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.

• 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

Benefits include:

Hybrid working

25 days holiday + bank holidays

Healthcare

Pension

Life Insurance

Retail discounts