Compliance Officer

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 be able to offer modular, incremental services to its clients allowing them to adjust their business models as and when they choose to. As part of this Titan is also an active acquirer of UK based asset managers and other wealth related businesses.

Titan Private Wealth is a well-established independent investment management business who provide portfolio management and stockbroking services to private clients. With full in-house back office, research and support teams, Titan Private Wealth are committed to providing an exceptional level of service to our clients which is achieved by developing long-term and trusted relationships. Titan Private Wealth our investment management arm, recently rebranded from Cardale, founded in 2003 and based in Harrogate.

The Role

This is an exciting and varied role that will see the successful individual assist in all aspects of compliance and risk management processes. You will engage in general compliance queries across the organisation and therefore prior financial services experience is highly desirable. Alongside providing assistance and information, you will be responsible for identifying, reporting and resolving regulatory risks and issues, ensuring KYC and internal policies and procedures are adhered to, as well as the maintenance of compliance monitoring. There will also be the opportunity to be involved in different projects as and when necessary.

Responsibilities

• Being a main point of contact for all services across the business and providing accurate information and assistance in relation to compliance queries.
• Compiling and updating the Compliance Monitoring Plan.
• Identifying and reporting any regulatory risks and issues.
• Assisting in the resolution of any potential regulatory issues.
• Compiling ongoing Management Information and providing monthly updates and reports.
• Drafting new, and revising existing policies and procedures, whilst carrying out file reviews to ensure these are being adhered to.
• Reviewing FCA publications, highlighting any areas of direct impact to the firm.
• To carry out any other duties as may reasonably be required.
• Adhere to consumer duty.

Skills and Requirements

• Compliance experience within Financial Services is highly desirable, preferably within Discretionary Investment Management.
• Ideally you will have gained CISI qualifications or be in the process of doing so.
• Exceptional attention to detail and analytical skills.
• Ability to respond to enquiries from a variety of stakeholders and effectively relay information clearly.
• Excellent organisational and time management skills.
• Strong work ethic with a desire to learn and commitment to lead by example.
• Excellent communication skills, both written and verbal.
• The ability to work well under pressure and use initiative whilst effectively prioritising and multi-tasking.
• Ability to work independently and as part of a team.

Our employees are talented people, distinguished by excellence. You will be able to demonstrate a willingness to embrace the Company values of:

Professionalism - how we treat our clients and colleagues.

Trust - embrace innovation and adapt to change.

Innovation - dare to create and don't fear failure.

Terms

Competitive salary

Hybrid working

25 days annual leave + public holidays

A range of benefits which includes 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 firmly committed to fostering an inclusive and equitable environment for everyone who works with us, regardless of their race, age, gender, sexual orientation, religion, physical ability or disability, or political affiliation. We believe that having a diverse team allows us to create the best possible outcomes for our clients and team members. We strive to provide equal opportunities in all aspects of the workplace with respect to recruitment and career advancement, pay and benefits, training and development opportunities and other job-related activities.