Current jobs related to Lead Compliance Monitoring Specialist - London, Greater London - Zopa Bank Limited

  • Compliance Monitoring Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Compliance Monitoring Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Compliance Monitoring Specialist

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...

  • Senior Compliance Monitoring Associate

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering the annual compliance monitoring programme by undertaking...

  • Senior Compliance Monitoring Associate

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering the annual compliance monitoring programme by undertaking...

  • Compliance Monitoring Lead

    3 weeks ago

    London, Greater London, United Kingdom MFS Investment Management Full time

    Compliance Monitoring and Thematic Reviews Lead SpecialistWe put people first and demonstrate care and compassion for our community and each other. Because what we do matters – to us as valued professionals and to the millions of people and institutions who rely on us to help them build more secure and prosperous futures.THE ROLEThe Compliance Monitoring...

  • Compliance Monitoring Lead

    4 weeks ago

    London, Greater London, United Kingdom MFS Investment Management Full time

    Compliance Monitoring and Thematic Reviews Lead SpecialistWe put people first and demonstrate care and compassion for our community and each other. Because what we do matters – to us as valued professionals and to the millions of people and institutions who rely on us to help them build more secure and prosperous futures.THE ROLEThe Compliance Monitoring...

  • Compliance Monitoring Lead

    4 weeks ago

    London, Greater London, United Kingdom MFS Investment Management Full time

    Compliance Monitoring and Thematic Reviews Lead SpecialistWe put people first and demonstrate care and compassion for our community and each other. Because what we do matters – to us as valued professionals and to the millions of people and institutions who rely on us to help them build more secure and prosperous futures.THE ROLEThe Compliance Monitoring...

  • Compliance Monitoring Lead

    3 weeks ago

    London, Greater London, United Kingdom MFS Investment Management Full time

    Compliance Monitoring and Thematic Reviews Lead SpecialistWe put people first and demonstrate care and compassion for our community and each other. Because what we do matters – to us as valued professionals and to the millions of people and institutions who rely on us to help them build more secure and prosperous futures.THE ROLEThe Compliance Monitoring...

  • Senior Compliance Monitoring Associate

    2 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Monitoring RoleWe are seeking a Senior Compliance Monitoring Associate to join our team. The successful candidate will have at least 2 years of compliance monitoring experience with a wealth management firm or a retail financial advice firm.The role involves assisting in the delivery of the annual compliance monitoring programme, identifying...

  • Senior Compliance Monitoring Officer

    6 days ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring Associate RoleWe are seeking a Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. The ideal candidate will have at least 2 years of experience in compliance monitoring within the wealth management or retail financial advice sectors.Key responsibilities include:Delivering the annual compliance...

  • Senior Compliance Monitoring Associate

    1 month ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring Associate – Two Years Retail FS or Wealth Management Monitoring Experience RequiredCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be...

  • Senior Compliance Monitoring Associate

    1 month ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...

  • Senior Compliance Monitoring Associate

    1 month ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...

  • Compliance Monitoring Specialist

    1 month ago

    London, Greater London, United Kingdom Kentro Capital Full time

    Job Title: Compliance Monitoring SpecialistAt Kentro Capital, we are seeking a highly skilled Compliance Monitoring Specialist to join our Compliance Team. As a key member of our team, you will play a critical role in ensuring the adequacy of our systems and controls, and supporting the delivery of our Risk and Compliance strategy.Key...

  • Compliance Monitoring Specialist

    1 month ago

    London, Greater London, United Kingdom Kentro Capital Full time

    Job Title: Compliance Monitoring SpecialistAt Kentro Capital, we are seeking a highly skilled Compliance Monitoring Specialist to join our Compliance Team. As a key member of our team, you will play a critical role in ensuring the adequacy of our systems and controls, and supporting the delivery of our Risk and Compliance strategy.Key...

  • Compliance Monitoring Specialist

    2 weeks ago

    London, Greater London, United Kingdom Meredith Brown Associates Full time

    Job Title: Compliance Monitoring SpecialistMeredith Brown Associates is seeking a highly skilled Compliance Monitoring Specialist to join our team. As a key member of our Compliance Department, you will be responsible for delivering high-quality compliance monitoring services to our clients.Key Responsibilities:Assist in the development and implementation of...

  • Compliance Officer Legal Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...

  • Compliance Officer Legal Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...

  • Compliance Monitoring Specialist

    1 month ago

    London, Greater London, United Kingdom Kentro Capital Full time

    Job Title: Compliance Monitoring SpecialistAt Kentro Capital, we are seeking a highly skilled Compliance Monitoring Specialist to join our Compliance Team. As a key member of our team, you will play a critical role in ensuring the adequacy of our systems and controls, and supporting the delivery of our Risk and Compliance strategy.Key...

Lead Compliance Monitoring Specialist

3 months ago

London, Greater London, United Kingdom Zopa Bank Limited Full time
About Zopa Bank Limited

Since our inception in 2005, we have been at the forefront of innovation in the financial sector, pioneering peer-to-peer lending. Our evolution continued with the establishment of Zopa Bank, a financial institution dedicated to transforming customer experiences in finance.

Our Vision

We aim to revolutionize banking by prioritizing our customers' needs, fostering an environment where everyone is encouraged to excel and contribute to the advancement of finance.

Role Overview

As the Head of Compliance, reporting directly to the Senior Director for Risk and Compliance (SMF16), you will play a pivotal role in steering our compliance initiatives. Your responsibilities will include:

  • Development and Maintenance: Oversee the creation and upkeep of Zopa's compliance frameworks and policies.
  • Monitoring and Assurance: Direct second-line monitoring activities, analyzing management information and first-line reports to ensure compliance risks are effectively managed.
  • Independent Assurance: Lead compliance assurance efforts, including policy reviews and evaluations of key compliance controls and customer interactions.
  • Regulatory Horizon Scanning: Stay ahead of new regulatory requirements related to conduct and customer service, ensuring timely implementation and communication across the organization.
  • Product Review: Provide compliance insights on new products and business initiatives.
  • Briefings: Prepare and present compliance-related updates to senior management and committees.
Qualifications

The ideal candidate will possess:

  • In-depth knowledge of the UK regulatory environment, particularly concerning the FCA and consumer-focused regulations.
  • Extensive experience in senior compliance roles within the financial services sector.
  • Exceptional coaching and mentoring abilities, with a track record of building high-performing compliance teams.
  • The capacity to distill complex regulatory requirements into clear, actionable strategies for all organizational levels.
Work Environment

At Zopa, we champion flexible working arrangements, recognizing the importance of collaboration and work-life balance. Our teams operate in a hybrid model, balancing time between our dynamic offices and remote work, tailored to the needs of the team and the tasks at hand.

Diversity Commitment

We believe that a diverse range of experiences, perspectives, and backgrounds enhances our products and cultivates a unique company culture.