Compliance Manager

Job description

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!

Titan Wealth Planning (TWP) is a subsidiary of Titan Wealth. Our focus is providing best-in-class advice on wealth management, employee benefits, and retirement planning. Our mission is to help businesses and their employees explore, set, and achieve their financial goals.

Titan Wealth Planning (TWP) operates within a tightly regulated financial planning landscape, where ensuring compliance with FCA regulations, internal controls and Consumer Duty requirements is paramount. To maintain our high standards and mitigate regulatory risk, TWP requires a full-time Compliance Manager who is a generalist within the Compliance Advisory field. The proposed Business Case for this individual will bring good team oversight and leadership experience to the compliance framework.

This role will support the Head of Compliance Advisory and ensure consistent adherence to regulatory obligations across our national adviser network.

Responsibilities

• Team Leadership: Manage a geographically dispersed team of compliance professionals, fostering consistent standards and collaborative working practices across the UK
• Management Information: Collate and analyse compliance MI for reporting to the Head of Compliance Advisory and escalation to relevant committees and governance forums and when required represent the Head of Compliance Advisory
• Consumer Duty Oversight: Lead the operational implementation and continuous oversight of Consumer Duty, ensuring adherence to the FCA’s expectation and demonstrable delivery of good outcomes for clients
• Anti Money Laundering: Ensure AML frameworks are up to date, effective and followed across the firm; support AML training, suspicious activity reviews and policy adherence
• Financial Promotions sign off: supporting the auditable system ensure clear fair and not misleading communications are reviewed and approved on a timely basis
• Compliance Monitoring Plan (CMP): Ownership and execution of TWP’s CMP to ensure regulatory coverage and risk mitigation across all business areas.

Critical Skills and Experience required:

• Minimum 3 to 5+ years in a senior compliance role within a regulated financial planning or wealth management firm. Proven experience leading a small to medium compliance team across multiple locations
• Strong generalist knowledge of the FCA Handbook, particularly COBS, SYSC and PRIN (including Consumer Duty). Familiarity with Connect, RegData, AML controls and conduct risk

Essential Qualifications and skills:

• Level 4 Diploma in Financial Planning
• Excellent written and verbal communication
• Attention to detail
• Analytical mindset
• Confident presentation to senior management

Additional Information:

• Harrogate office – Hybrid – 3 days in office – 2 days UK remote
• Full-time – Permanent role: 35-hour week – 9am to 5pm (1-hour lunch)
• Travel to other offices as and when required

Titan Key behaviours:

• Commercial Awareness
• Innovation
• Collaboration
• Team contribution
• Professionalism

Join Titan Wealth Holdings

At Titan Wealth, we pride ourselves on being Creative, Collaborative, and Committed. These values are at the heart of everything we do – shaping how we serve our clients and how we work together as colleagues.

We are a fast-growing organisation, continuing to expand through mergers and acquisitions. This means we are navigating complex change, integrating diverse cultures, building frameworks and processes, and strengthening our infrastructure – all while maintaining our focus on delivering best-in-class customer care.

We understand this environment isn’t for everyone. But for those who embrace challenge, have an entrepreneurial mindset, and are excited to contribute to the growth of a top 10 wealth management business, Titan Wealth offers an exceptional opportunity to shape your career.

If you want to make a meaningful impact, develop without limits, and be part of our journey to become best in market, we’d love to hear from you.

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.

Some of our benefits:

- Competitive salary

- Private Medical Insurance post probation

- Attractive Employee Pension Scheme (7.5% employer & minimum 3% employee)

- 25 days Annual Leave (plus buy and sell up to 5 days)

- Office Christmas close (3-days)

- Life Assurance

- Health cash plan

- Hybrid working

- Discretionary performance related bonus

- Employee Assistance Programme

- Lunch and snacks provided in the Bristol office.

- 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.