Compliance Operations Executive
21 hours ago
Manchester
Compliance Operations Executive - FCA-Regulated Funeral Plan Provider Location: Remote (UK) Reporting to: Head of Risk & Compliance Salary: £35,000–£38,000 per annum, full-time Role Purpose 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)., • Maintaining and delivering the compliance monitoring programme, including risk assessments, reporting, and breach/incident management., • Monitoring and reviewing customer-facing materials to ensure regulatory compliance., • Maintaining and updating 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. Knowledge, Skills & Experience 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. Aura’s Mission 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. Aura Values • 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.