Compliance Executive - Financial promotions

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Neilson Financial Services provides the UK markets with innovative, customer-focused, life insurance products. With our comprehensive, affordable policies, we make a difference in people’s lives by giving them certainty about caring for others: we are there for them when they can’t be there for their loved ones.

We’ve evolved from our origins in the UK to become aninternational operation with offices in the USA, Canada, Ireland, the UK and Australia, with ourhead office based in Windsor and anin-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.

We aim to provide a comprehensive range of innovative products and deliver exemplary service levels to our customers and corporate partners, providing a consistently high quality, fully integrated customer experience. We’ve been awarded Feefo’s top rating, the Trusted Merchant Gold Award, for our outstanding customer service.

Neilson Financial Services provides the UK markets with innovative, customer-focused, life insurance products. With our comprehensive, affordable policies, we make a difference in people’s lives by giving them certainty about caring for others: we are there for them when they can’t be there for their loved ones.

We’ve evolved from our origins in the UK to become aninternational operation with offices in the USA, Canada, Ireland, the UK and Australia, with ourhead office based in Windsor and anin-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.

We aim to provide a comprehensive range of innovative products and deliver exemplary service levels to our customers and corporate partners, providing a consistently high quality, fully integrated customer experience. We’ve been awarded Feefo’s top rating, the Trusted Merchant Gold Award, for our outstanding customer service.

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.

• 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…