Senior Lloyd’s Compliance Executive
- Hiring from
- United Kingdom
- Work type
- Hybrid
- Posted
614,346 remote jobs, straight from company career pages
100% free · New jobs every minute
Show job descriptionHide job description
To support the Director of Compliance and Head of Oversight and International Compliance in the daily operations of PoloWorks’ compliance function, and develop and maintain its capabilities, ensuring exceptional outcomes for our clients, customers and employees, and supporting the growth and development of the client base, including international regulations and requirements.
Key Responsibilities
• Ensure the Compliance of PMA with all applicable financial services laws and regulations for Lloyd’s requirements in international territories, currently Singapore and Japan.
• Monitor and report on the state of the firms’ Lloyd’s compliance. Overseeing day-to-day activity across PMA, including international compliance.
• Support the delivery of the annual Compliance and Monitoring Plan. Coordinating monitoring, breaches, returns and reporting.
• Deliver Lloyd’s regulatory returns to deadlines, and oversee timely regulatory registrations, approvals and notifications especially for Lloyd’s international business.
• Develop good working relationships with international regulators.
• Embed regulatory compliance into operational processes and procedures.
• Provide management with appropriate advice and challenge on any compliance and non-compliance, so that pragmatic, timely and proportionate actions and decisions are taken.
• Promote the development of Lloyd’s compliance knowledge and culture at the firms.
• Develop and enhance appropriate Compliance Policies and Procedures.
• Oversee and support the firms’ governance structures and annual timetables.
• Develop and maintain a Lloyd’s compliance monitoring framework with appropriate reporting.
• Provide support and regulatory guidance in relation to new projects and initiatives pursued by the business.
• Analyse new requirements and guidance and their expected effect on the business.
• Comply with the FCA’s Conduct Rules.
• Keeping track of progress, priorities and workload. Making sure monitoring, reporting and actions are completed to close.
• Monitor and report on the state of the firms’ Lloyd’s compliance. Overseeing day-to-day activity across PMA, including international compliance.
• Support the delivery of the annual Compliance and Monitoring Plan. Coordinating monitoring, breaches, returns and reporting.
• Deliver Lloyd’s regulatory returns to deadlines, and oversee timely regulatory registrations, approvals and notifications especially for Lloyd’s international business.
• Develop good working relationships with international regulators.
• Embed regulatory compliance into operational processes and procedures.
• Provide management with appropriate advice and challenge on any compliance and non-compliance, so that pragmatic, timely and proportionate actions and decisions are taken.
• Promote the development of Lloyd’s compliance knowledge and culture at the firms.
• Develop and enhance appropriate Compliance Policies and Procedures.
• Oversee and support the firms’ governance structures and annual timetables.
• Develop and maintain a Lloyd’s compliance monitoring framework with appropriate reporting.
• Provide support and regulatory guidance in relation to new projects and initiatives pursued by the business.
• Analyse new requirements and guidance and their expected effect on the business.
• Comply with the FCA’s Conduct Rules.
• Keeping track of progress, priorities and workload. Making sure monitoring, reporting and actions are completed to close.
Skills, Knowledge and Expertise
• Ability to demonstrate strategic thinking, including financial and commercial analytical skills.
• Strong Lloyd’s knowledge and understanding of financial services regulation and the management of compliance activities, conduct in financial services.
• High level of analytical, organisational and planning skills and resource management, together with ability to solve problems, prioritise effectively and deliver results.
• Self-motivated, with the ability to drive and develop the role.
• Helpful and positive manner, optimistic, open and pragmatic, with a flexible approach to change.
• Ability to communicate effectively at all levels within the organisation, both orally and in writing.
• Knowledge of regulatory requirements for Lloyd’s Managing Agents.
• Demonstrates behaviours aligned to the PoloWorks PRIDE values
• Strong Lloyd’s knowledge and understanding of financial services regulation and the management of compliance activities, conduct in financial services.
• High level of analytical, organisational and planning skills and resource management, together with ability to solve problems, prioritise effectively and deliver results.
• Self-motivated, with the ability to drive and develop the role.
• Helpful and positive manner, optimistic, open and pragmatic, with a flexible approach to change.
• Ability to communicate effectively at all levels within the organisation, both orally and in writing.
• Knowledge of regulatory requirements for Lloyd’s Managing Agents.
• 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.
