Head of Compliance

We are seeking a highly skilled Head of Compliance to oversee and manage all compliance-related matters within our organization. As the Head of Compliance at ITI Capital, you will lead our compliance department, overseeing regulatory compliance, Anti-Money Laundering/Know Your Customer (AML/KYC) initiatives. Ensuring compliance with regulatory requirements and implementing best practices within the investment and brokerage industry. You will work closely with various stakeholders and private equity businesses. The successful candidate will be responsible for ensuring that our company operates in adherence to all relevant laws and regulations

Your strategic vision and leadership will ensure that the firm operates in accordance with all legal and regulatory requirements and best practices and upholding our reputation.

Key Responsibilities:

· Develop and implement company policies and procedures across all business areas.

· Monitor control systems and deal with violations of legal rules and internal policies.

· Collaborate with key stakeholders, including investment teams, compliance officers, legal counsel, and senior management.

· Provide guidance and support to investment teams on risk-related matters, ensuring compliance with internal policies, regulatory requirements, and industry best practices.

· Develop and maintain policies, procedures, and controls, ensuring they are updated to reflect changes in regulatory requirements and business activities.

· Oversee the due diligence process for new investment opportunities and conducting thorough analysis to support investment decision-making.

· Evaluate and enhance the firm's operational framework, including business continuity planning and disaster recovery.

· Monitor regulatory developments and implement necessary changes to remain compliant.

Regulatory Compliance Oversight: Ensure that all aspects of the firm's operations are conducted in compliance with regulatory requirements, industry standards, and internal policies.

AML/KYC Supervision: Oversee the firm's AML and KYC programs, ensuring identification and verification.

Policy Development and Implementation: Develop, maintain, and revise policies and procedures for the operation of the compliance program and its related activities.

Training and Education: Implement an effective compliance training program, including appropriate introductory training for new employees and ongoing training for all employees and managers.

Reporting and Documentation: Prepare, manage, and file requisite compliance and regulatory reports/documents with authorities.

Regulatory Relationships: Act as the firm's primary point of contact with regulatory bodies, managing any audits, inquiries, or investigations.

Compliance Review: Develop an annual compliance work plan that reflects the organization's unique characteristics; conduct periodic internal reviews.

Team Leadership and Development: Lead the compliance team, ensuring high standards, and professional development.

Stay Informed: Keep abreast of regulatory changes, new compliance issues, and best practices, adjusting the compliance program accordingly.

· Bachelor's degree in finance, Business Administration, Economics, or a related field. A master's degree is preferred.

· Candidate must assume SMF 16 and SMF 17 and a high-level proficiency in MS Excel

· Minimum 5 years of experience

· Solid understanding of methodologies, and regulatory requirements relevant to investment and brokerage firms in the UK, including knowledge of FCA regulations and guidelines.

· Excellent communication and interpersonal skills, with the ability to effectively engage and collaborate with stakeholders at all levels of the organization.

· Familiarity with proficiency in data analysis and reporting.

· Professional certifications such as an CFA (Chartered Financial Analyst) are highly desirable.

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, ETF's, Futures, Options, FX, CFD's, ETF's, Managed Funds and Fixed Income. We deliver expert, personal services to a diverse range of clients.

· We offer a competitive salary and benefits package, along with a supportive work environment that encourages professional growth and development. If you possess the required, we invite you to apply for this exciting opportunity.