Job Description The Compliance Executive is responsible for supporting the Compliance Manager with the delivery of Neilson Financial Services’ (Neilson’) Compliance Activity Plan, to help the Compliance team ensure effective and proportionate management of Neilson’ legal and regulatory risk. The Compliance Executive will be expected to advise the business on regulatory matters, promote an effective compliance culture and contribute towards 2nd Line of Defence risk management activity. Duties and responsibilities: Oversee the Compliance Query Mailbox to ensure requests are dealt with in line with internal SLAs. Support the Compliance Team in the delivery of the Compliance Activity Plan, where required. Assist with Compliance Monitoring Activity, contributing to scope discussions, audit testing, and audit report writing. Administer the ‘outstanding audit items’ tracker, ensuring that action owners provide timely updates and all actions are tracked through to completion. Contribute to the review of vulnerable customer cases and financial crime reviews. Manage the ‘Contracts Mailbox’ ensuring that the Supplier Onboarding Process is administered effectively. Maintain an up-to-date knowledge of Neilson’ products, systems and processes. Undertake compliance and data protection due diligence and ongoing monitoring of new partnerships/outsourcing/affiliate arrangements. Keep up to date with upcoming changes to the regulatory environment, contributing towards the Compliance Team’s horizon scanning activity. Assist the Compliance Manager with maintenance of the Conflicts of Interest and Gifts registers. Provide accurate, considered and timely responses to ad hoc compliance related queries from business stakeholders.