116 Quality Control Analyst jobs in London

A prestigious international Bank is seeking a dynamic individual to join its Compliance area. Your role will involve supporting the Head of Compliance to ensure full adherence to UK regulations and the expectations of local regulators.

Responsibilities will include:

• Providing guidance and training to staff regarding compliance and UK Data Protection Regulations, PRA/FCA Outsourcing, third-party risk management and Senior Managers & Certification Regime
li>Conducting compliance monitoring programmes and reporting findings
• Reviewing/maintaining the London office policy & procedure and framework on compliance with UK GDPR/data protection
• Reviewing the London office framework on compliance with PRA/FCA and Senior Managers & Certification Regime
• Assisting business areas with implementation plans for any policy/procedural changes   
< i>Assisting with monitoring activities regarding Conduct Risk, Operational Resilience etc
• Preparing various compliance reports

Your experience must include:  

li>Strong proven experience in regulatory compliance gained within banking – including compliance regarding Data Protection, PRA/FCA Outsourcing and third-party risk management < i>Excellent presentation skills – both oral and written < i>Good understanding of PRA/FCA,  Senior Managers & Certification Regime, regulatory reporting and risk management framework    Strong IT skills   li>A proactive “hands-on” approach, showing initiative to assist with projects

Please note this role will be working 5 days a week in the office for the first month, transitioning to hybrid thereafter (3 days in the office and 2 days remote).

Sponsorship will not be available for this position, therefore 3+ years on visa eligibility to work in UK is essential.

Our client, a highly respected Bank, is seeking a Manager – Regulatory Compliance to join their team on a permanent basis.

This position forms an integral part of 2nd Line of Defence and the successful candidate will also be performing regular and comprehensive compliance risk assessments according to the approved compliance plan, report on a regular basis on compliance identified breaches and corrective actions taken, as applicable.

Under direction, draft the Scope of Regulatory Compliance oversight as part of the annual plan and adhere to the plan by performing reviews and following up on outstanding actions.

Responsibilities (but not limited to):
•    Determine the processes and sub-processes, including input, processing and output.
•    Perform an end-to-end review of each process and determine relevant risks and controls.
•    Undertake root-cause analysis to address and mitigate the identified risks and recommend adequate remedial action.
•    Facilitate controls gap analysis, remediation planning and testing for all business units.
•    Ensure that the controls are efficient and effective, thus maintaining risks at an acceptable level.
•    Ensure that the processes are in compliance with regulatory requirements and best practices, at governance, oversight and operational levels.
•    Provide counsel and advice to the various functions in view of enhancing the control structure.
•    Review the branch’s policies, procedures and systems, before implementation, in order to assess the inherent risks, determine sufficiency of controls, and convey approval.
•    Undertake a continuous Control Self-Assessment exercise.
•    Maintain an updated Compliance Risk Register detailing the determined Compliance risks.

Qualifications and Skills:
•    University graduate preferably with a Major in Marketing, Banking, Finance, Accounting, Economics, Business Administration or Information Technology (related field of study).
•    At least 6 years of relevant experience, preferably in banking within a highly rated international bank. Also experience with regulated mortgages, savings accounts and fixed term deposits.
•    Excellent oral and written communication skills (including report writing) in English.
•    Awareness of customer relationship practices and regulations.

For more information on this role please contact Sonia Smith by sending your CV quoting ref 16905SS.

At Zango, we’re training AI agents to read and interpret complex regulations thereby turning regulation into code. In less than 12 months since incorporation, we’ve partnered with some of the world’s largest financial institutions and raised significant backing from top-tier investors.

Our mission is to help financial institutions stay ahead of regulatory change, so they can launch new products and expand into new markets 10x faster without hitting compliance bottlenecks.

We’re looking for a financial services Compliance Subject Matter Expert (SME) who brings hands-on experience from working in the second line of defence in implementing compliance frameworks, maintaining governance registers, and designing and testing controls for effectiveness.

This is a unique opportunity: compliance and legal functions are going through a massive disruption for the first time being reshaped by AI . At Zango, you’ll sit at the intersection of technology and clients, helping senior stakeholders navigate this shift with confidence while directly shaping how AI transforms compliance.

• Engage senior stakeholders as a trusted advisor on compliance and regulatory change.

• Apply hands-on second line of defence experience (obligations extraction, gap analysis, controls design, testing effectiveness) to client challenges.

• Lead client conversations from initial interest through to contract and onboarding.

• Build long-term relationships that open up growth across business lines and jurisdictions.

• Bring client insights into Zango to help shape product and go-to-market strategy.

• 6–10 years’ experience in financial services compliance, regulatory advisory, or consulting in the UK/EU

• Hands-on second line of defence experience: implementing frameworks, governance registers, designing and testing controls.

• Client-facing experience with senior stakeholders; able to engage as a peer and build trust.

• Entrepreneurial bend – proven by times where you’ve created, or built something from scratch. This is one of the most important things we’ll look for in this role to assess fit.

This positions the role as part practitioner, part advisor, with the AI disruption angle front and center .

Location: London (Hybrid)

Duration: 6 months

Rate: £650 –£ 800 per day (inside IR35)

We are supporting a global financial services firm who is hiring an experienced compliance professional to lead regulatory mapping initiatives across its trading venue and financial crime domains. This is a high-impact contract role with a focus on MiFID II, MiFIR, MAR, and AML regulations within a dynamic, cross-functional environment.

Key Responsibilities:

• Lead end-to-end regulatory obligation mapping for MTF and AML domains
• Link legal and regulatory obligations to internal controls and documentation
• Monitor regulatory change and manage trigger events
• Collaborate with Legal, Risk, and Business stakeholders to ensure accuracy and traceability
• Present management information to senior leadership, auditors, and regulators
• Support enterprise risk management and challenge first-line control design

Ideal Candidate:

• 8+ years’ experience in Compliance, Legal, Risk, or Internal Audit
• Strong knowledge of MiFID II, MiFIR, MAR, and AML regulations
• Hands-on experience with regulatory mapping in a trading or financial services environment
• Excellent communication and stakeholder management skills
• Proven ability to lead cross-functional initiatives and deliver under pressure

This is a fantastic opportunity for a regulatory specialist to contribute to a strategic compliance program within a globally recognised firm.

• Horizon-scanning to detect and track emerging regulatory requirements.
• Interpreting emerging regulatory requirements and advising stakeholders on their potential impact and associated control requirements.
• Developing and maintaining relationships with stakeholders across TP ICAP, including the EMEA COO, the EMEA Head of Venues and Market Infrastructure, and Legal.
• Interacting with trade associations, exchanges and regulators as required, including representing TP ICAP at industry or regulatory meetings.
• Representing EMEA Compliance in internal governance meetings, such as the Regulatory Change Oversight Meeting, and in subsequent regulatory implementation projects.
• Creating and delivering training materials on regulatory requirements.
• Reviewing and drafting policies and procedures to comply with relevant regulatory requirements.
• Performing ad-hoc reviews and investigations in to TP ICAP’s adherence to its regulatory requirements.
• Supporting applications for new/amended regulatory permissions as required.
• Review output from the Compliance Monitoring Programme and implement remedial actions.
• Project work as required from time to time.
• Fulfil additional / ad hoc duties as required to meet the needs of the business and the EMEA Compliance function.
  
  

• Good working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e.g. MiFID II and SMCR etc.
• Previous experience analysing wholesale market regulations and assessing their impact.
• Excellent communication skills, both verbal and written.
• Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
• Able to work well with diverse groups and personalities.
• A bachelor’s degree or a period of work experience demonstrating equivalent ability.
  
  

• Prior experience at a regulator or government agency in drafting or reviewing financial services policy.
• Prior experience in a compliance role at another Financial Services firm.
• Knowledge of specific execution methodologies e.g. Name Give Up, Matched Principal, Exchange Give Up.
  
  

The Regulatory Compliance Specialist position will report to the Head of Regulation and Risk team and mainly manage regulatory compliance matters globally. Key responsibilities include conducting impact assessments, regulatory mapping and reporting, and providing expert analysis on regulations. The role involves collaboration with various support functions, delivering training sessions, and acting as a regulatory liaison.

Responsibilities

• Oversee the preparation, validation, and submission of regulatory reports for commodities trading activities (e.g., EMIR, MiFID II, REMIT, Dodd-Frank, SFTR).
• Act as the point of contact for internal teams on regulatory reporting queries.
• Conduct detailed impact assessments for upcoming regulations.
• Map regulatory obligations to business requirements and controls.
• Analyze and interpret relevant regulations
• Collaborate with Regulatory Affairs, Legal, Risk, and Finance teams.
• Deliver training sessions on new regulations.

Requirements

• Experience with regulations in the commodities, energy or capital market sector.
• Strong knowledge in regulatory bodies, or trade associations.
• Knowledge of market abuse, trading, and regulatory reporting.
• Ability to stay updated with regulatory changes in a dynamic environment.