Compliance Officer - London, United Kingdom - ITI Capital Limited

ITI Capital Limited

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Compliance Advisory

Provide first line with regulatory guidance/advice where required, recording, analysing and reporting monthly to the Chief Risk Officer.
Review firmwide policies and procedures against regulatory requirements and best practices, completing a gap analysis accordingly, making recommendations for change and monitoring for closure.
Undertake regulatory horizon scanning ensuring that all regulatory changes that will impact the firm are known, communicated (including providing summary and undertaking gap analysis when required) and plan for implementation.
Assessment, approval and recording of financial promotions in line with firm policy.
Preparation and distribution of Compliance and Conduct Management Committee pack including minutes and action log.
Assistance in the design and delivery of firm wide Compliance training where required.

Compliance Monitoring

Complete regular Compliance Monitoring engagements in accordance with the annual Compliance Monitoring Plan.
Take the lead in carrying out Compliance Monitoring reviews in accordance with the Compliance Monitoring Procedure.
Ensure testing scripts meet the required specification to enable robust testing to be undertaken.
Produce high quality monitoring reports in a timely manner, clearly the identifying issue, root cause and required actions.
Review and critically appraise evidence presented in support of proposed action closure.
Assist in updating the Compliance Risk Assessment with the output from Compliance Monitoring reviews.

Salary:
£40,000.00-£50,000.00 per year

Schedule: