Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance efforts, oversee AML/KYC initiatives, and ensure regulatory adherence.
- Company: ITI Capital is a top FCA-regulated brokerage firm in London, specializing in diverse asset classes.
- Benefits: Competitive salary, professional development opportunities, and a dynamic work environment.
- Why this job: Join a reputable firm, make an impact in compliance, and lead a dedicated team.
- Qualifications: Bachelor's degree required; significant compliance experience in financial services preferred.
- Other info: In-office role in London; equal opportunity employer.
The predicted salary is between 48000 - 84000 £ per year.
Head of Compliance
ITI Capital Limited London, United Kingdom
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:
- 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, verification, and due diligence processes effectively mitigate risk.
- 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.
- Risk Assessment and Mitigation: Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues.
- 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 UK 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.
Qualifications:
- 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.
- 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.
- 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.
#J-18808-Ljbffr
Head of Compliance | London, UK | In-Office employer: ITI Capital Limited
Contact Detail:
ITI Capital Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance | London, UK | In-Office
✨Tip Number 1
Familiarize yourself with the latest UK regulatory requirements and compliance best practices. This knowledge will not only help you in interviews but also demonstrate your commitment to staying informed in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in broker-dealer or prime brokerage environments. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully led compliance initiatives in the past. Highlighting your leadership skills and ability to develop effective training programs will set you apart from other candidates.
✨Tip Number 4
Research ITI Capital's current compliance challenges and recent regulatory changes that may impact their operations. Showing that you understand their unique position will demonstrate your proactive approach and strategic thinking.
We think you need these skills to ace Head of Compliance | London, UK | In-Office
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of the Head of Compliance position. Familiarize yourself with regulatory compliance, AML/KYC initiatives, and the specific requirements outlined in the job description.
Tailor Your CV: Customize your CV to highlight relevant experience in compliance roles, particularly in the financial services industry. Emphasize your leadership skills and any experience you have with regulatory bodies and compliance programs.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your strategic vision for compliance and your understanding of the regulatory landscape. Mention specific achievements in previous roles that demonstrate your capability to lead a compliance team effectively.
Highlight Relevant Qualifications: Ensure you clearly list your educational background and any relevant certifications (like CISI, ICA, or ACAMS) in your application. This will help demonstrate your qualifications for the role and your commitment to the field of compliance.
How to prepare for a job interview at ITI Capital Limited
✨Understand Regulatory Frameworks
Familiarize yourself with the UK regulatory environment, especially the FCA guidelines. Be prepared to discuss how your experience aligns with these regulations and how you can ensure compliance within the firm.
✨Showcase Leadership Skills
As a Head of Compliance, you'll need to demonstrate strong leadership abilities. Prepare examples of how you've successfully led teams in the past, focusing on team development and achieving compliance goals.
✨Discuss AML/KYC Experience
Be ready to talk about your specific experiences with Anti-Money Laundering and Know Your Customer initiatives. Highlight any successful programs you've implemented and how they mitigated risks.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think through potential compliance vulnerabilities and how you would address them effectively.
