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Compliance Officer
1 month ago
About us
The Titan Group provides a broad range of services across the whole wealth value chain – from financial planning, investment management through to platform, trading, settlement and custody services. Its strategy is to offer modular, incremental services to clients allowing them to adjust their business models. Titan is an active acquirer of UK based asset managers and other wealth related businesses.
Titan Private Wealth is an independent investment management business providing portfolio management and stockbroking services to private clients. With in-house back office, research, and support teams, Titan Private Wealth is committed to providing an exceptional level of service achieved by developing long-term relationships. Titan Private Wealth, formerly Cardale, was founded in 2003 and is based in Harrogate.
The Role
This role involves assisting in compliance and risk management processes. You will handle compliance queries, identify and resolve regulatory risks, ensure adherence to policies, and assist in compliance monitoring. There will be involvement in various projects as required.
Responsibilities
- Main point of contact for compliance queries.
- Update Compliance Monitoring Plan.
- Identify and report regulatory risks.
- Assist in resolving regulatory issues.
- Provide Management Information updates.
- Draft and revise policies and procedures.
- Review FCA publications for impact.
- Carry out other duties as required.
- Adhere to consumer duty.
Skills and Requirements
- Compliance experience in Financial Services, preferably in Discretionary Investment Management.
- CISI qualifications preferred.
- Attention to detail and analytical skills.
- Effective communication and organisational skills.
- Strong work ethic and desire to learn.
- Excellent written and verbal communication.
- Ability to work under pressure and multitask.
- Work independently and as part of a team.
Terms
- Competitive salary
- Hybrid working
- 25 days annual leave + public holidays
- Private medical insurance, Group life insurance, and income protection insurance.
- 6% employer pension contribution
- Further education and training support
- Discretionary performance related bonus
- Confidential Employee Assistance Programme
- 2 days per year for voluntary work
- “Salary Extras” employee discounts
The Titan Wealth Group is committed to an inclusive and equitable environment for all employees, promoting diversity and equal opportunities.
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