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- Tasks: Support compliance operations and ensure regulatory requirements are met in a fast-paced environment.
- Company: Join PoloWorks, a leading firm with a strong compliance culture.
- Benefits: Competitive salary, career growth opportunities, and a collaborative team atmosphere.
- Why this job: Make a real impact by upholding high standards and promoting compliance across the business.
- Qualifications: Experience in compliance roles and strong communication skills are essential.
- Other info: Dynamic role with opportunities to develop policies and improve compliance processes.
The predicted salary is between 60000 - 70000 £ per year.
Are you a detail-oriented compliance professional looking to take the next step in your career? At Polo Works, we are looking for a dedicated Senior Compliance Executive to support the day-to-day operation of our Compliance Function. As a key member of our established team, you’ll play a crucial role in ensuring we meet regulatory requirements by undertaking compliance monitoring and supporting a range of compliance-related activities. If you’re passionate about upholding high standards, contributing to a collaborative team, and operating in a fast-paced environment, we’d love to hear from you.
To maintain a strong and positive compliance culture, this role involves developing and maintaining compliance processes, reporting, and interaction with business units and regulatory bodies as needed.
Key Responsibilities- Support and assist the Compliance Team in fulfilling compliance matters.
- Contribute to the continuing development of the compliance function.
- Track compliance actions as part of the annual Compliance Plan and report progress throughout the year.
- Undertake monitoring, including field monitoring in key risk areas (e.g., contract certainty and slip reviews).
- Assist in preparing Committee and Board reports (e.g., Conduct Risk and Complaints Reports, MI for Board reports).
- Develop and maintain the compliance pages of the intranet.
- Assist with regulatory processes and reporting as required.
- Develop and maintain good working relationships with the business and promote a compliant culture; respond to general queries to support the business.
- Assist in developing or improving policies and procedures to support regulatory compliance.
- Undertake horizon scanning and impact assessments; assist with regulatory processes and reporting as required.
- Ensure timely reporting to Lloyd’s and the FCA via the Business Calendar where applicable.
- Maintain the Compliance training system and monitor staff course completion; contribute to development of required courses.
- Communicate regulatory information clearly to business areas and oversee resulting actions.
- Track and monitor compliance performance against agreed risk appetite.
- Promote a compliance-led culture across all areas of the business.
- Maintain knowledge of regulation, expectations, and good market practice; report material changes.
- Maintain compliance with applicable UK or international obligations as required by the role.
- Previous experience in a compliance role for Managing Agency or Broker.
- Regulatory and market awareness; understanding of FCA DISP Rules and both FCA and Lloyd’s complaint handling processes.
- Strong written and verbal communication skills; ability to articulate complex issues clearly.
- Reasoning and negotiation skills; confident in knowledge and expertise.
- Organisational skills; proactive and capable of managing own caseload with deadlines and quality standards.
- Strong numerical and analytical skills.
- Proficiency with multiple software applications; advanced Excel, good Word, Access, and PowerPoint.
- Good communicator who can build relationships with colleagues and partner organisations.
- Resourceful with initiative to resolve issues; strong planning and attention to detail.
- Proactive and personable approach.
Senior Compliance Executive employer: PoloWorks
Contact Detail:
PoloWorks Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Executive
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the hunt for a Senior Compliance Executive role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA DISP Rules and complaint handling processes. Be ready to discuss how your previous experience aligns with PoloWorks' compliance culture and how you can contribute to their team.
✨Tip Number 3
Showcase your analytical skills! During interviews, be prepared to share examples of how you've successfully tracked compliance actions or improved policies in your past roles. This will demonstrate your proactive approach and attention to detail.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you're genuinely interested in joining the PoloWorks team and contributing to their compliance efforts.
We think you need these skills to ace Senior Compliance Executive
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Executive role. Highlight your relevant experience in compliance, especially any work with regulatory bodies like the FCA. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our team at PoloWorks. Keep it concise but impactful – we love a good story!
Showcase Your Skills: Don’t forget to showcase your strong written and verbal communication skills. We’re looking for someone who can articulate complex issues clearly, so give us examples of how you've done this in the past.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at PoloWorks
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA DISP Rules and the complaint handling processes. Being able to discuss these confidently will show that you're not just familiar with compliance but that you live and breathe it.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills in previous roles. Whether it's tracking compliance actions or conducting risk assessments, having specific instances ready will demonstrate your capability to handle the responsibilities of the Senior Compliance Executive role.
✨Communicate Clearly
Practice articulating complex compliance issues in a straightforward manner. The interviewers will be looking for someone who can communicate regulatory information clearly, so think about how you can simplify jargon and make it relatable.
✨Build Relationships
Think about how you've fostered good working relationships in past roles. Be ready to discuss how you can promote a compliant culture and support business units, as this is key to succeeding in the role at PoloWorks.
