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.
The role
We are seeking an experienced and technically strong Compliance Officer to join our Compliance Advisory function. This individual will focus particularly on complaint handling, root cause analysis and providing advisory oversight across multiple financial planning businesses with TWP. The ideal candidate will have extensive experience in senior compliance roles within large-scale advisory firms and a deep technical understanding of financial planning, including FCA regulations, suitability and conduct requirements.
Responsibilities
- Act as a key compliance advisory point across TWP. Supporting regulated financial advice activities.
- Manage and oversee the compliant handling process, ensuring timely resolution, root cause analysis and appropriate remedial action.
- Support the design, implementation and review of compliance policies and procedures, ensuring alignment with FCA requirements and Titan Wealth Group standards.
- Deliver clear and pragmatic compliance advice to business stakeholder on regulatory matters, including suitability of advice, financial promotions, clients’ disclosures and product governance.
- Participate in compliance monitoring reviews and thematic projects, providing expert input where required.
- Support training and development initiatives to enhance compliance understanding across adviser and operational terms.
- Contribute to regular compliance reporting to the Head of Compliance Advisory and senior management.
- Monitor regulatory developments and address their impact on the firm, communicating implications and recommending actions.
Requirements
- Proven track record in compliance roles within established and large financial advisory firms
- Deep knowledge and understanding of FCA regulatory requirements, especially around advice, suitability, complaint handling and Consumer Duty
- Extensive experience managing and resolving complaints within a regulated financial advice environment.
- Strong technical knowledge of financial planning products and services (e.g. pensions, investments, protection, tax planning)
- Experience working across multiple regulated advice business is highly desirable.
- Ability to balance regulatory requirements with commercial business understanding.
- Strong stakeholder engagement and communication skills, with ability to influence and challenge constructively.
- Professional qualifications such as Level 4 Diploma in Financial Planning (or equivalent)
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.
