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- Tasks: Support compliance operations and improve processes using AI and technology.
- Company: Join a compassionate FCA-regulated funeral plan provider with a remote-first culture.
- Benefits: Enjoy unlimited holiday, flexible work, and personal development support.
- Why this job: Make a meaningful impact while tackling the taboo of death in a supportive team.
- Qualifications: Experience in compliance or risk operations, preferably in FCA-authorised businesses.
- Other info: Work remotely and travel for a month each year to a location of your choice.
The predicted salary is between 35000 - 38000 £ per year.
The Compliance Operations Executive will support the Head of Risk & Compliance in ensuring the business meets its obligations as an FCA-authorised funeral plan provider. The role combines hands-on compliance and risk operations with a focus on streamlining, automating, and improving compliance and risk processes, leveraging AI, workflow systems, and CRM tools to enhance efficiency, accuracy, and controls.
The Compliance Executive will act as a key bridge between compliance and the business, supporting new customer journeys, products, and services, while providing essential operational compliance oversight and assisting the Head of Risk & Compliance with Board and Committee reporting.
Key Responsibilities- Compliance & Risk Operations
- Support the Head of Risk & Compliance and Compliance Executive with BAU compliance tasks including quality assurance (QA) checks and testing of customer outcomes to ensure products, services, and communications meet FCA expectations, including Consumer Duty and Treating Customers Fairly (TCF).
- Maintain and deliver the compliance monitoring programme, including risk assessments, reporting, and breach/incident management.
- Monitor and review customer-facing materials to ensure regulatory compliance.
- Maintain and update compliance registers, policies, procedures, and training materials.
- Support complaints handling, ensuring issues are promptly and effectively investigated and resolved.
- Process Improvement & Automation
- Identify opportunities to streamline and improve compliance and risk processes, reducing manual effort wherever possible.
- Implement workflow automation, AI, and other technology-enabled solutions to improve monitoring, reporting, and operational efficiency.
- Evaluate existing operational processes and controls, recommending practical enhancements to improve effectiveness.
- Oversight of the third party supplier framework through improved systems and automation.
- Business Integration & Advisory
- Act as a primary compliance contact for business teams, ensuring regulatory requirements are embedded into new customer journeys, products, and initiatives.
- Support change management and project delivery, maintaining flexibility in a fast-paced, scaling business environment.
- Provide clear, practical guidance to business teams on compliance and risk matters.
- Support the Head of Risk & Compliance with Board and committee reporting.
- Culture & Governance
- Promote a culture of compliance, risk awareness, and continuous improvement across the business.
- Challenge inefficiencies constructively and provide pragmatic, commercially-aware solutions.
- Support the embedding of governance standards and risk-aware decision-making across operations.
- Essential:
- Proven working knowledge of compliance, risk, or governance operations in a UK FCA authorised business. Previous experience in funeral plans, insurance, lending, or retail finance essential.
- Experience in fast-paced, scaling business environments, able to cope with changing priorities.
- Experience with systems, workflow / CRM tools, and project management.
- Strong organisational and time-management skills, with ability to manage multiple priorities and deadlines.
- Excellent written and verbal communication skills.
- Proactive, self-motivated, commercially aware, and pragmatic, with ability to challenge inefficiencies constructively.
- Attention to detail, analytical mindset, and ability to handle data confidently.
- FCA regulatory awareness, particularly Consumer Duty and TCF.
- Highly desirable:
- Experience using automation/AI in compliance operations.
- Exposure to compliance monitoring frameworks, risk management practices, or governance reporting.
To create a society where planning for death is embraced as part of life. We tackle fear, uncertainty, and complexity surrounding death with connection, compassion, and innovation.
Company Benefits- Life: Fully remote, with occasional meetups in London/South of England.
- Leisure: Unlimited holiday and flexible, trust-based culture.
- Purpose: Make a meaningful difference helping people through life’s hardest times.
- Growth: Support for personal and career development.
- Wellness: Free wellbeing apps, private medical insurance, and 24/7 support line.
- Travel: Work from a country of your choice for one month each year.
- Challenge: Join a driven team tackling ambitious projects.
- Courageous Ambition: Taking on the taboo of death, together.
- Connecting Humans: Building compassion, community, and connection.
- Empowerment & Growth: Learning, growing, and supporting each other.
- Our Family: Honesty, support, humour, and respect at the heart of all we do.
- Humans Before Profits: People first, always.
- Death Positivity & Inclusivity: Open, honest, and inclusive conversations about life and death.
- Our Mentality: Embracing death to embrace life, living fully in every moment.
Compliance Operations Executive in Chesterfield employer: Aura
Contact Detail:
Aura Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Operations Executive in Chesterfield
✨Tip Number 1
Network like a pro! Reach out to people in the compliance and risk sectors, especially those who work in FCA-regulated businesses. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance processes. We recommend creating a cheat sheet with key points to discuss, so you can impress the hiring team with your expertise.
✨Tip Number 3
Showcase your tech-savviness! If you've worked with AI, workflow systems, or CRM tools, make sure to highlight that experience. Employers love candidates who can streamline processes and improve efficiency.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are genuinely interested in joining our mission to make a difference.
We think you need these skills to ace Compliance Operations Executive in Chesterfield
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Compliance Operations Executive role. Highlight your experience in compliance, risk operations, and any relevant tools you've used. We want to see how you fit into our mission and values!
Showcase Your Skills: Don’t just list your skills; demonstrate them! Use specific examples from your past roles that show how you've improved processes or handled compliance tasks. This will help us understand your hands-on experience and how you can contribute to our team.
Be Clear and Concise: When writing your application, keep it clear and to the point. We appreciate well-structured responses that get straight to the heart of your qualifications. Remember, attention to detail is key in compliance!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you're keen on joining our team!
How to prepare for a job interview at Aura
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA regulations, especially around Consumer Duty and Treating Customers Fairly. Being able to discuss these topics confidently will show that you're serious about the role and understand the compliance landscape.
✨Showcase Your Tech Savvy
Since the role involves leveraging AI and workflow systems, be prepared to talk about any experience you have with these technologies. Share specific examples of how you've used automation or CRM tools to improve processes in previous roles.
✨Demonstrate Your Problem-Solving Skills
Think of a time when you identified an inefficiency in a process and how you tackled it. Be ready to explain your thought process and the outcome. This will highlight your proactive nature and ability to challenge inefficiencies constructively.
✨Emphasise Your Communication Skills
As a bridge between compliance and the business, strong communication is key. Prepare to discuss how you've effectively communicated complex compliance issues to non-compliance teams in the past. This will show that you can provide clear, practical guidance.