Senior Compliance & Conduct Risk Leader

PoloWorks; Cheltenham; Hybrid; GBP 65,000 - 90,000; Full time

Benefits offered by this job

Hybrid working

Private health insurance

Life assurance

Income protection

Pension contributions

Electric Vehicle leasing

Employee assistance programme

Volunteer days

Cheltenham bus travel

Job summary

PoloWorks is seeking a Senior Compliance Executive in Cheltenham to support the Head of Compliance Oversight and the compliance function. You will help oversee Consumer Duty, conduct risk and regulatory requirements to ensure good customer outcomes and a strong conduct culture.

The role involves regulatory reporting, governance support and ongoing risk management. Key responsibilities include developing the Consumer Duty framework, coordinating Lloyd’s processes, and contributing to committee

Qualifications

• Strong understanding of FCA Consumer Duty requirements and conduct risk principles.
• Experience in governance or regulatory roles within Lloyd’s market.
• Ability to interpret regulatory requirements and translate them into practical actions.
• Experience preparing compliance reports, MI, policies, procedures or submissions.

Responsibilities

• Support the Head of Compliance Oversight and Compliance Manager in fulfilment of compliance, Consumer Duty and conduct risk responsibilities.
• Develop, implement and monitor the Consumer Duty framework with evidence of good customer outcomes.
• Identify, assess, manage and report Conduct Risk requirements and related obligations.
• Coordinate Lloyd’s Principles and Annual Attestation Process with tracked actions.
• Draft the annual Compliance Plan and provide updates on progress and emerging risks.

Skills

FCA Consumer Duty

Conduct Risk

UK Regulatory Environment

Lloyd’s Market Experience

Regulatory Reporting

Education

Compliance qualification in progress

Job description

PoloWorks is seeking a Senior Compliance Executive in Cheltenham to support the Head of Compliance Oversight and the compliance function. You will help oversee Consumer Duty, conduct risk and regulatory requirements to ensure good customer outcomes and a strong conduct culture.

The role involves regulatory reporting, governance support and ongoing risk management. Key responsibilities include developing the Consumer Duty framework, coordinating Lloyd’s processes, and contributing to committee