Compliance Operations Executive

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.