Compliance Officer (Investment Funds)

About Us

The Titan Wealth Group is a wealth and asset management business bringing high quality execution and administration to the sector through leverage of the Group's resources and technology. We meet universal wealth and asset management needs by supporting our own as well as client IFAs and DFMs with innovative, quality and integrated solutions that drive efficiency into every part of the wealth management cycle.

We are an active acquirer of DFMs and IFAs in the UK, following an aggressive growth trajectory, having trebled in size from the initial acquisition of "GPP" under two years ago. Our strategy sees strong organic growth within the near term coupled with significantly larger acquisitions. We currently manage ten entities attracting taxation, mostly UK-orientated with exposure to Jersey and South Africa.

We are looking for a Compliance Officer specialising in investment funds to support the SMF 16/17 in the institutional asset management pillar of the Titan Wealth Group. The pillar currently includes the following Titan entities: Titan Investment Solutions, Titan Asset Management and Square Mile Investment Services. The investment funds are mainly UCITS and AIFs, together with model portfolios which are sold to a range of IFAs and wealth managers.

This is a wide-ranging role covering all compliance topics relating to both investment funds and other more generic compliance responsibilities.

Job Responsibilities

• Manage the Compliance Monitoring Plans ('CMPs'), specifically, conducting monitoring activities, recording evidence, reporting findings and proposing enhancements where appropriate.
• Review compliance policies and ensuring these are regularly updated.
• Provide input into fund compliance projects as required.
• Provide regulatory advice to the business as needed.
• Review breaches and operational errors, liaising with the Management Company to ensure satisfactory resolutions.
• Monitor PA dealing requests and Gifts and Entertainment.
• Review and approve financial promotions.
• Prepare management information such as Committee reports.
• Conduct and respond to due diligence requests.
• Support the SMF16/17 and carry out any other duties as may reasonably be required.
• Adherence to consumer duty and ensuring good client outcomes.

Job Requirements

• Previous compliance experience in a Fund Administration, Management Company or Asset Management environment necessary.
• Experience of performing monitoring activities, audits or other forms of reviews.
• The candidate is expected to have good knowledge in the following subjects: UCITS and AIFMD requirements, Fund and Product governance, Systems and Controls, Conflicts of Interest, Consumer Duty.
• A self-starter with the ability to work effectively in a busy and evolving environment.
• A good communicator and the ability to write comprehensive reports.
• Preferably an IMC holder and relevant CISI Compliance exams achieved.

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

"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 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.