Buscar empleo: 1000+ ofertas de trabajo de systems manager en , London (abril 2026) - page 15

Senior Compliance Officer

hace 1 día

London

About Us: Zenith Bank (UK) Limited (ZBUK) is a subsidiary of Zenith Bank PLC, the most profitable bank in Nigeria with an established trajectory of superlative performance, as well a strong pedigree of innovation, resilience, and market dominance. On an annual basis, Zenith Bank PLC amasses a string of notable awards; one of the most recent being listed as the sole Nigerian brand on the World’s top 100 companies in 2023 by the World Finance Magazine. Zenith Bank (UK) Limited (ZBUK) was set up with a clear strategy to leverage trade and investment flows between Nigeria and Europe, by providing intermediary banking services and facilities for trade-related working capital and capital expenditure. Zenith Bank recognizes the importance of leveraging a highly skilled workforce to achieve its strategic and operational goals. The bank is committed to providing an environment that is conducive for effective performance by availing all staff the necessary learning opportunity. We value the well-being of our staff and we encourage them to strike a balance between their work and personal lives, thereby creating a healthy atmosphere for personal development and career success. With the introduction of new services here in the UK and our unparalleled knowledge of business with Africa, our 5 year strategy ensures “Controlled Growth” as we aim to become the Bank of choice for businesses wishing to transact in the African continent. Job Purpose The purpose is to ensure execution of the regulatory compliance arrangements including the provision of advice and ensure that Zenith Bank (UK) Ltd (“ZBUK”) operates within a strong and positive compliance culture. Working with the CCO to develop, implement and monitor Compliance monitoring, strategy and policy for ZBUK; and to support the CCO in overseeing the evaluation, measurement, monitoring and management of regulatory risks enterprise wide. In addition, to ensure the Bank’s regulatory framework remains robust and ensure all returns and policies are tracked. Ensure that the Compliance policies comply with legal and regulatory requirements. Key Tasks and Duties: Day to day management of regulatory compliance- Tasks & Duties • Responsibility for managing the daily regulatory routine tasks:, • Review regulatory updates from multiple Regulators and communicate to the relevant teams across the Bank, • Provide management transparency and overall assurance in the Regulatory return process within Zenith Bank, DIFC and Paris branches through thoughtful presentation of dashboards, regular reports, and ad-hoc management information as needed., • Provide advice on any regulatory matters and/or regulatory communications, • Review of regulatory returns across the Bank including London, Dubai and Paris Teams to ensure accuracy of the data presented., • Monitor, review and track all policies for the Bank including multiple jurisdictions of UAE and France, • Keep abreast, analyse, and communicate policy and market developments in regulatory reporting to relevant stakeholders including senior management on a timely basis., • As part of the 2nd LoD role, review, and challenge all the regulatory returns (and the processes that underlie their production) required for the Bank of England, the Financial Conduct Authority, and the Prudential Regulation Authority (among others)., • Responsible for the management of the Compliance Monitoring Plan Review and approval of new communications and financial promotions, • Assisting the CCO with the Weekly Compliance Update to Exco, • Undertaking a weekly review of Risk Events to scan for potential complaints, • Undertaking a weekly review of a sample of Treasury dealer chat messages, • Undertaking a monthly review of the Complaints Register, • Undertaking a 2nd line check of the monthly ISEM prepared, • Undertaking a monthly review of the Management Responsibilities map, • Undertaking a quarterly review of investment documentation obtained from our clients, • Undertaking a quarterly review of client MiFID categorisations, • Undertaking a quarterly review of investment trades for suspicious transactions, • Undertaking a quarterly review of Personal Account Deals for unusual price movements, • Undertaking a quarterly review of CASS Reconciliations, • Undertaking a quarterly review of expenses claims, • Undertaking a quarterly review of hold mail, • Undertaking a quarterly review of the gifts and hospitality register, • Undertaking reviews of suitability of personal recommendations at appropriate intervals, • Coordinating the annual gifts/hospitality and Personal Account Dealing undertakings, • Assisting the CCO with the preparation of the Quarterly Board Regulatory Update, • Assisting the CCO with the ACC Update on changes to policies and procedures, • Undertaking a quarterly review of staff routinely in contact with the regulators, • Undertaking a quarterly review of potentially obsolete staff records, • Submitting the Professional Standards Data Report to the FCA, • Submitting the annual Fee Tariff Data Report to the FCA, • Preparing the CASS 10 Review and Custodian Selection for the Board, • Preparing the CASS 10 Annual Compliance Report to the Board, • Undertaking the Annual CASS6.3 Review of Custodians, • Undertaking the annual review of CASS Procedures, • Undertaking the annual review of CASS Reconciliation Frequency rationales, • Undertaking an annual review of relevant manuals, procedures and policies, including the Compliance Manual, Regulatory Investment Manual, CASS Manual and Accountability Policy., • Undertaking an annual review of the Bank’s Execution Policies, • Preparing and submitting all regulatory returns to the FCA, • Working with the CCO to complete the annual Compliance and CASS Risk Assessments (The list of Compliance Routine Tasks is non-exhaustive and will be updated from time to time in line with the Bank’s requirements in relation to identified emerging risks and industry/regulatory trends.) • Working with the CCO to ensure that the Compliance Monitoring Programme, Routine Compliance Tasks Schedule and Risk Register reconcile and remain appropriate and up to date, • Keeping up to date with relevant legislative and regulatory updates and ensuring these are implemented within the Bank’s systems and controls, • Providing advice and guidance to other departments on regulatory matters, • Working with the CCO to facilitate the development of a compliance culture which is conducive to minimising the risk of regulatory failure and the resultant reputation damage, • Taking action to remedy any breaches that occur, • Maintaining an interest and involvement in broader Compliance Department knowledge and activities for the purposes of assisting the CCO and & Deputy Compliance Manager as and when required., • Assisting the CCO and with other matters that may arise from time to time. Skills/Competencies/ Experience required: • Relevant degree-level qualification – Compliance or LLB preferred qualification, • Minimum of 4 years of relevant industry experience. Consumer Duty CASS Client Assets Rules SMRC- Senior Managers Certification Regime COCON- Conduct rules BCOBS- Banking: Conduct of Business sourcebook PRIN – Principle for Business Rules SYSC- Senior Management Arrangements, Systems and Controls Rules Market Conduct DISP Rules – Complaints COBS- Conduct of Business Governance • Good knowledge of financial services products., • Sound generalist compliance knowledge., • Excellent team working and interpersonal skills., • Ability to balance business/market needs with regulatory and reputational risk., • Excellent oral and written communication skills., • Assertive and persuasive, with the ability to challenge but retain colleagues support., • Strong organising, planning and prioritising skills., • Ability to work under pressure and on own initiative., • Ability to analyse and interpret complex information., • Willingness and ability to take on new tasks., • Flexible and adaptable to changing demands., • Investigative and questioning nature. This is a permanent position, paying up to £75,000 based on experience.

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