Compliance Officer - London, United Kingdom - ITI Capital Limited

ITI Capital Limited
ITI Capital Limited
Verified Company
London, United Kingdom

4 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

ITI Capital Limited is a financial technology business focusing on global brokerage, asset management, fintech investments & technology transfer globally.

It is authorized and regulated by the FCA.

The Head office is in the City of London - UK


Compliance Advisory

  • Provide first line with regulatory guidance/advice where required, recording, analyzing, 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.

COMPLIANCE

  • Broker / bank Background
  • FCA strong handbook knowledge
  • At least 3 years of experience

Job Types:
Full-time, Permanent


Salary:
£30,000.00-£40,000.00 per year


Schedule:

  • Monday to Friday

Education:


  • Bachelor's (preferred)

Work Location:
In person


Reference ID:
Compliance officer
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