Compliance Officer

2 weeks ago

London, United Kingdom ITI Capital Limited Full time

**Compliance Advisory**
- Provide first line with regulatory guidance/advice where required, recording, analysing and reporting monthly to the Chief Risk Officer.
- Review firm-wide 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:

- 8 hour shift
- Day shift

Work Location: One location

Reference ID: compliance officer

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