Senior Compliance Exec: Consumer Duty & Conduct Risk – Hybrid

Polo; Greater London; Hybrid; GBP 70,000 - 110,000; Full time

Benefits offered by this job

Competitive salary

Discretionary annual bonus

Minimum 26 days annual leave

Flexible, hybrid working

Private health insurance

Life assurance

Income protection

Enhanced pension contributions

Occupational maternity and paternity

Job summary

Polo in London is seeking a Senior Compliance Executive to support the Head of Compliance Oversight and ensure effective oversight of Consumer Duty, conduct risk and regulatory compliance requirements. The role will help ensure good customer outcomes, embed a strong conduct culture, and meet regulatory expectations, including FCA and Lloyd’s.

The successful candidate will coordinate risk controls, prepare compliance plans and reporting, and advise business areas on governance, complaints

Qualifications

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

Responsibilities

• Support the Head of Compliance Oversight and Compliance Manager in fulfilment of compliance, consumer duty and conduct risk responsibilities.
• Help develop, implement and monitor the Consumer Duty framework with evidence of good customer outcomes.
• Identify, assess and report Conduct Risk requirements and regulatory obligations.
• Coordinate Lloyd’s Principles and Annual Attestation Process with timely tracking of actions.
• Assist with drafting the annual Compliance Plan and provide progress updates.
• Contribute to Committee and Board reporting including Conduct Risk and Consumer Duty MI.
• Analyze complaints and customer outcome data to identify trends and risks.
• Provide compliance guidance on Consumer Duty, conduct risk, and customer communications.
• Support development of the compliance function through projects and regulatory changes.

Skills

FCA Consumer Duty

Conduct risk principles

UK regulatory environment

Regulatory reporting

Analytical skills

Stakeholder engagement

Written and verbal communication

Governance

Regulatory change initiatives

Education

Professional qualification in compliance/risk/insurance (advantageous)

Job description

Polo in London is seeking a Senior Compliance Executive to support the Head of Compliance Oversight and ensure effective oversight of Consumer Duty, conduct risk and regulatory compliance requirements. The role will help ensure good customer outcomes, embed a strong conduct culture, and meet regulatory expectations, including FCA and Lloyd’s.

The successful candidate will coordinate risk controls, prepare compliance plans and reporting, and advise business areas on governance, complaints