Compliance Officer Investment Funds

4 weeks ago


London, Greater London, United Kingdom Titan Wealth Holdings Limited Full time

About Titan Wealth Holdings Limited, a leading wealth and asset management business. We bring high-quality execution and administration to the sector through leveraging our resources and technology.

Our strategy sees strong organic growth within the near term coupled with significantly larger acquisitions. As a result, we are looking for a Compliance Officer specialising in investment funds to support the SMF 16/17 in the institutional asset management pillar of our organisation.

The investment funds are mainly UCITS and AIFs, together with model portfolios which are sold to a range of IFAs and wealth managers. This is a wide-ranging role covering all compliance topics relating to both investment funds and other more generic compliance responsibilities.

Job Responsibilities
  • Manage the Compliance Monitoring Plans ('CMPs'), conducting monitoring activities, recording evidence, reporting findings and proposing enhancements where appropriate.
  • Review compliance policies and ensuring these are regularly updated.
  • Provide input into fund compliance projects as required.
  • Provide regulatory advice to the business as needed.
  • Review and approve financial promotions.
Salary

We offer a competitive salary estimated at £60,000 - £80,000 per annum, depending on experience.



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