PoloWorks
Senior Compliance Executive
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Department: Risk & Compliance
Location: Cheltenham
Description
The Senior Compliance Executive will support the Head of Compliance Oversight and wider compliance function in delivering effective oversight of Consumer Duty, Conduct Risk and regulatory compliance requirements. The role will help ensure that the business delivers good customer outcomes, embeds a strong conduct culture, and meets applicable regulatory expectations, including those of the FCA, Lloyd’s and other relevant stakeholders.
Key Responsibilities
- Support and assist the Head of Compliance Oversight and Compliance Manager in the fulfilment of compliance, Consumer Duty and conduct risk responsibilities.
- Support the ongoing development, implementation and monitoring of the Consumer Duty framework, including evidence of good customer outcomes.
- Support the business in identifying, assessing, managing and reporting Conduct Risk requirements and related regulatory obligations.
- Coordinate the Lloyd’s Principles and Annual Attestation Process, ensuring actions are tracked and completed in a timely manner.
- Assist with the drafting of the annual Compliance Plan and provide regular updates on progress, delivery and emerging risks throughout the year.
- Prepare and contribute to Committee and Board reporting, including Conduct Risk, Consumer Duty, Complaints and wider compliance MI.
- Analyse complaints, customer outcome data and conduct MI to identify trends, root causes, risks and areas for improvement.
- Provide compliance advice and guidance to business areas on Consumer Duty, conduct risk, complaints handling, fair value, communications, governance and customer outcomes.
- Contribute to the continuing development of the compliance function through participation in projects, regulatory change initiatives and process improvements.
- Support the delivery of compliance monitoring activity, thematic reviews and assurance work relating to Consumer Duty and conduct matters.
- Maintain awareness of regulatory developments and assess their potential impact on the business.
- Build and maintain strong and effective relationships with key internal and external stakeholders, including senior management, operational teams, risk, governance, Syndicates and regulators where appropriate.
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Key Attributes
- Acts with integrity, professionalism and sound judgement.
- Demonstrates a strong customer-outcomes mindset and commitment to fair treatment of customers.
- Works collaboratively across the business to promote a positive compliance and conduct culture.
- Shows attention to detail and a proactive approach to identifying and resolving issues.
- Communicates clearly, constructively and confidently, escalating matters where appropriate.
Skills, Knowledge And Expertise
- Strong understanding of FCA Consumer Duty requirements, conduct risk principles and the UK regulatory environment.
- Experience working in a compliance, conduct risk, governance or regulatory role within the Lloyd’s market.
- Ability to interpret regulatory requirements and translate them into practical business actions.
- Experience preparing compliance reports, management information, policies, procedures or regulatory submissions.
- Strong analytical skills, with the ability to assess data, identify themes and provide clear recommendations.
- Excellent written and verbal communication skills, with the confidence to engage with stakeholders at different levels of seniority.
- Good organisational skills, with the ability to manage multiple priorities, deadlines and workstreams.
- Professional qualification or progress towards a relevant compliance, risk or insurance qualification would be advantageous.
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Demonstrates Behaviours Aligned To The PoloWorks PRIDE Values
- Pioneering – we don’t stand still
- Responsible – We do the right thing
- Inclusive – we all play a role
- Delivery Focused – we provide services we are proud of
- Empowering – we equip people to be their best
Benefits
As well as a competitive salary, discretionary annual bonus, and a minimum 26 days of annual leave (with the option to buy more), you will also get an excellent benefits package, including flexible, hybrid working, private health insurance, life assurance, income protection, enhanced pension contributions, and occupational maternity and paternity pay.
You will also have access to company volunteering days, an Electric Vehicle (EV) leasing scheme, an employee assistance programme with retail discounts and savings, a generous employee referral scheme, regular sports and social events, and free Cheltenham bus travel.
Benefits Band 3
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