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    Compliance Officer - United Kingdom - Titan Wealth Holdings Limited

    Titan Wealth Holdings Limited
    Titan Wealth Holdings Limited United Kingdom

    1 week ago

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    Description

    Titan Wealth is a wealth and asset management business bringing high quality execution and administration to this sector through leverage of the Group's resources and technology.

    The Titan Group is an active acquirer of UK based asset managers and other wealth related businesses, and 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.

    asset managers in the UK and provides a broad range of services to investment managers and IFAs.

    We meet universal wealth and asset management needs by supporting the IFAs and DFMs we serve with innovative, quality and integrated solutions that drive efficiency into every part of the wealth management cycle.

    The Compliance Officer position will hold a senior post supporting all Group and pillar regulated entities within the Titan business.

    Keeping up to date knowledge of regulatory developments at UK/EU level with particular focus on FCA, FOS and FSCS developments as well as assisting in reviewing and tracking relevant FCA consultations and other policy documents.

    The individual will be part of the team responsible for compliance and anti-money laundering and wider compliance/regulatory projects relating to the business units.

    Conduct ongoing and thematic monitoring.
    Conduct regular risk assessments, compliance reviews to identify and address any compliance gaps or weaknesses

    Develop, implement and maintain robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements, industry best practices, internal guideline and in conjunction with the Group Head of Compliance.

    Stay up-to-date with regulatory developments, industry trends, and emerging risks to ensure timely implementation of necessary changes and enhancements to the compliance program.

    Providing regulatory advice and guidance to all parts of the group along with supporting colleagues in specific pillar compliance roles, this includes senior management and the boards

    Develop, review, and maintain Compliance policies, procedures and information to the business, covering all core regulatory and legislative requirements.

    Providing advice and guidance to management to assist them in embedding appropriate training and development to maintain ongoing competence in all areas.

    Assist with regulatory returns to all relevant authorities with particular emphasis on FCA returns.
    Monitoring, recording, and dealing with complaints against the regulated firm(s).

    Have a good knowledge of topical and relevant regulatory regimes such as, but not limited to; Performing and supporting work relating to one-off compliance and regulatory projects, as these arise from time-to-time.

    7+ years' experience in a similar post in compliance within the financial services wealth sector and/or custodian
    ~ Compliance monitoring experience
    ~ Demonstrated experience in developing and implementing compliance programs, policies, and procedures.
    ~ Preferable:
    Diploma (or equivalent) qualification in compliance, regulation and/or AML and Financial Crime
    ~ 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
    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 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.

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