Compliance Associate

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.

Due to this Titan Wealth is expanding rapidly through strategic acquisitions, offering a unique combination of start-up energy and the security of private equity backing. It’s an inspiring time to join the team!

Job Responsibilities

• Assist with implementation of new regulations, suitable compliance controls and other projects, new business initiatives and products.

• Participate in the development and delivery of a Compliance Monitoring and Testing Programme.
• Assist with the investigation and resolution of ad hoc queries from regulators, exchanges and other areas of the business.
• Assist with the provision of constructive and accurate feedback following review of documentation ensuring that required amendments are made.
• Maintain and update Compliance-owned guidance, policies, procedures and training materials. Review or provide input into business-owned procedures and processes.
• Provide assistance to other members of the Compliance team as necessary.
• Suggest revisions to procedures and reports periodically to identify hidden risks or compliance gap issues.
• Assist in the preparation of reports for senior management, Board’s and Committees, and external regulatory bodies as appropriate.
• Carry out compliance protocols and training across policies, procedures, examinations, and audits.
• Work closely with the Compliance team to ensure seamless support.
• Foster strong relationships with clients and internal teams, ensuring continuous growth within the organisation.
• This list of Compliance duties and responsibilities is not intended to be all-inclusive to the role and can be expanded to include other duties or responsibilities that management deems necessary.

Job Requirements

• Knowledge of applicable regulations e.g. MiFID II, CASS, Consumer Duty etc.
• Working knowledge of FCA handbook, FCA connect and RegData systems.
• Effective planning, organisation and time management skills.
• Ability to work accurately, thoroughly, reliably and with strong attention to detail.
• Team player, proactively working to support the team.
• Ability to work independently and prioritise multiple tasks.
• Ability to build relationships across departments.
• High degree of personal drive and motivation to succeed.
• Strong analytical skills, with the ability to think critically for building solutions for the company.
• Computer competency, including Microsoft Outlook/Word/Excel.

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
• "SalaryExtras" 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.