The role involves planning and conducting compliance monitoring reviews, ensuring adherence to FCA regulations, documenting findings, and collaborating with business units to improve compliance culture.
Titan Wealth is a fast-growing wealth management business, both in the UK and internationally. It has evolved a fairer, more efficient and effective business model, structured to deliver leading advice-led wealth management services, giving financial advisers and their clients the best opportunity to fulfil their dreams and ambitions.
We provide a dynamic work environment full of opportunity, one where both individual and team initiative and contribution is encouraged, so that together we can deliver better outcomes for our clients over the long term.
The Role
Reporting into the Head of Compliance Monitoring, this role will support Titan Wealth by assisting the Head of Compliance Monitoring with planning reviews, testing adherence to all FCA regulation and standards, and documenting findings for all reporting requirements. This role also is expected collaborate with business units to strengthen controls, close findings, and foster a proactive compliance culture.
Responsibilities
- Assist the Head of Compliance Monitoring with planning risk-based compliance monitoring reviews as set out in the Titan Wealth Holdings Compliance Monitoring Plans across the Titan Wealth Holdings Group and subsidiary entities.
- Undertake review of documentation including procedures and policies to verify adherence to the relevant FCA, or other regulatory standard. This will also include financial crime and data protection legislation and regulation.
- Perform sample testing using defined testing plans and sample selection methodology, highlighting any exceptions for discussion with the relevant business unit and compliance team.
- Ensure records of all samples, testing and query resolution/exceptions are retained in good order and as per compliance monitoring team procedures.
- Assist with drafting findings and reports at the conclusion of each review and for entity board reporting.
- Track agreed monitoring findings to completion with business unit action owners, retaining evidence of finding closure and performing validation testing for higher risk findings.
- Collaborate with the different business units and teams to promote a culture of compliance, providing advice and guidance where necessary.
- Stay updated with relevant laws, regulations and industry trends to ensure ongoing compliance.
- Support the development and implementation of internal compliance policies and procedures.
- Occasionally travel to other Titan offices to undertake monitoring on-site or for meetings or other compliance-related activities.
- Supporting broader Titan Wealth Compliance team with ad hoc projects.
- Adhere to all FCA regulations including consumer duty.
Requirements
- Experience:
- Previous experience in compliance, or internal audit specifically within financial services advisory or fund management sectors.
- Experience with arranging custody though third-party outsourcing arrangements and platforms.
- Familiarity with financial crime and GDPR compliance is preferred.
- Strong understanding of financial regulations, particularly those pertaining to the FCA.
- Skills & Qualifications:
- Strong attention to detail and analytical skills.
- Ability to identify compliance issues and recommend appropriate actions.
- Strong verbal and written communication skills.
- Ability to work both independently and as part of a small, collaborative team.
- Ability to manage multiple tasks and prioritize effectively.
- Ability to travel to other UK offices as needed.
- Desirable Qualifications:
- Relevant professional qualifications such as ICA, CISI, or similar financial planning would be advantageous.
- Knowledge of systems used in financial advisory, fund management, and custody functions.
Our employees are talented people, distinguished by excellence. You will be able to demonstrate a willingness to embrace the Company values of:
Creativity – we recognise we need new ways of thinking, learning and doing to both improve our own productivity and efficiency as well as to help us stay ahead of competitors.
Commitment – we are team with the willingness to put time, effort and energy into driving change in the organisation, going the extra mile.
Collaboration – we need teamwork amongst ourselves and with partners to generate more innovative, efficient and effective solutions and thereby a greater sense of achievement.
Terms
- Competitive salary
- Attractive Employee Pension Scheme (7.5% employer & minimum 3% employee)
- 25 days Annual Leave + public holidays
- Buy and sell holidays up to 5 days
- Office Christmas close (3-days)
- A range of benefits which includes private medical insurance, Group life insurance, and income protection insurance.
- Hybrid working
- Further education and training support
- Discretionary performance related bonus
- Confidential Employee Assistance Programme
- 2 days per year for voluntary work
- And lots of flexible benefits to choose from!
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.
Top Skills
Fca Regulations
Financial Crime Compliance
Fund Management
Gdpr Compliance
Systems Used In Financial Advisory
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