Head of Compliance
ITI Capital Limited London, United Kingdom
Skills, Experience, Qualifications, If you have the right match for this opportunity, then make sure to apply today.
Job Overview
As the Head of Compliance at ITI Capital, you will lead our compliance department, acting as the designated SMF16, overseeing both regulatory compliance and Anti-Money Laundering/Know Your Customer (AML/KYC) initiatives. Your strategic vision and leadership will ensure that the firm operates in accordance with all legal and regulatory requirements and best practices, minimizing risk and upholding our reputation.
Company Overview
ITI Capital Limited is an esteemed FCA-regulated multi-asset brokerage firm in The City of London. Specializing in various asset classes and account types, including Equities, ETFs, Futures, Options, FX, CFDs, Managed Funds, and Fixed Income. We deliver expert, personal services to a diverse range of clients.
Key Responsibilities:
1. Regulatory Compliance Oversight: Ensure that all aspects of the firm’s operations are conducted in compliance with regulatory requirements, industry standards, and internal policies.
2. AML/KYC Supervision: Oversee the firm’s AML and KYC programs, ensuring identification, verification, and due diligence processes effectively mitigate risk.
3. Policy Development and Implementation: Develop, maintain, and revise policies and procedures for the operation of the compliance program and its related activities.
4. Training and Education: Implement an effective compliance training program, including appropriate introductory training for new employees and ongoing training for all employees and managers.
5. Risk Assessment and Mitigation: Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues.
6. Reporting and Documentation: Prepare, manage, and file requisite compliance and regulatory reports/documents with authorities.
7. Regulatory Relationships: Act as the firm’s primary point of contact with regulatory bodies, managing any audits, inquiries, or investigations.
8. Compliance Review: Develop an annual compliance work plan that reflects the organization’s unique characteristics; conduct periodic internal reviews.
9. Team Leadership and Development: Lead the UK compliance team, ensuring high standards, and professional development.
10. Stay Informed: Keep abreast of regulatory changes, new compliance issues, and best practices, adjusting the compliance program accordingly.
Qualifications:
1. Education: Bachelor’s degree in law, Finance, Business Administration, or related field; master’s degree or relevant professional certification (e.g., CISI, ICA, or ACAMS) preferred.
2. Experience: Significant experience gained working in a SMF 16 capacity in a compliance role within the financial services industry, specifically within a broker-dealer or prime brokerage environment; extensive knowledge of UK regulatory environment and AML/KYC requirements.
3. Leadership: Proven experience leading a team, with strong leadership and team development skills.
The salary range can vary/change depending on experience, upon further discussion.
We are an equal opportunities employer and welcome all applications regardless of age, gender, ethnicity, faith or disability. Only candidates with the right to work in the UK will be considered. We regret that only shortlisted candidates will be contacted.
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