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 Partners (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.
To assist in the provision of high-quality compliance governance, this role will play an important part in ensuring compliance with relevant legislation and procedures. Assisting the operation of effective systems and controls to mitigate business risks and ensure compliance with the regulatory system is key. This role will help maintain a collegiate relationship with both advisers and support staff to foster a positive approach to compliance across the company.
Job Responsibilities
Assisting the Compliance Director to implement and review strategic business plans for the Compliance function to contribute to the overall compliant operations of the firm. Assisting the Compliance Director with team 1-1's and supervision. Dealing with day-to-day team queries in the Director's absence. Assisting with compliance induction for new staff. Providing guidance and support to advisers and support staff. Providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed. Providing support in monitoring effective systems and controls to counter money laundering or financial crime risks. Maintaining accurate, up-to-date, and detailed compliance records and registers. Updating policies and procedures as required. Contributing to the effectiveness of the Group through delivering coaching and training sessions as required. Liaising with Simply Biz as required for any compliance queries which require external support or checks. Preparing governance packs/board packs as required. Assisting in preparing MI. Assisting in T & D support.
Job Requirements Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification. Experience of internal file reviews of new business and annual client reviews, complaints handling. Case checking (in pension transfer or mortgage checking) experience is ESSENTIAL. A good understanding and knowledge of relevant FCA rules. A good understanding of complaints procedures. A good understanding of other relevant legislation, including that related to financial crime and GDPR. A good understanding of updating policies and procedures. A good understanding of Training & Competency. Experience of T&C / Complaints & working within SM&CR would be an advantage. IT competent with knowledge of Intelligent Office an advantage. Excellent standard of written and verbal communication. Analytical mind and excellent attention to detail. Excellent time management skills with an ability to work to deadlines. Ability to coach and provide feedback.
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.
Some of our benefits: Private Medical Insurance Employee Pension Scheme 24 days Annual Leave Dental Insurance Life Assurance Health cash plan 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. #J-18808-Ljbffr
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 Partners (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.
To assist in the provision of high-quality compliance governance, this role will play an important part in ensuring compliance with relevant legislation and procedures. Assisting the operation of effective systems and controls to mitigate business risks and ensure compliance with the regulatory system is key. This role will help maintain a collegiate relationship with both advisers and support staff to foster a positive approach to compliance across the company.
Job Responsibilities
Assisting the Compliance Director to implement and review strategic business plans for the Compliance function to contribute to the overall compliant operations of the firm. Assisting the Compliance Director with team 1-1's and supervision. Dealing with day-to-day team queries in the Director's absence. Assisting with compliance induction for new staff. Providing guidance and support to advisers and support staff. Providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed. Providing support in monitoring effective systems and controls to counter money laundering or financial crime risks. Maintaining accurate, up-to-date, and detailed compliance records and registers. Updating policies and procedures as required. Contributing to the effectiveness of the Group through delivering coaching and training sessions as required. Liaising with Simply Biz as required for any compliance queries which require external support or checks. Preparing governance packs/board packs as required. Assisting in preparing MI. Assisting in T & D support.
Job Requirements Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification. Experience of internal file reviews of new business and annual client reviews, complaints handling. Case checking (in pension transfer or mortgage checking) experience is ESSENTIAL. A good understanding and knowledge of relevant FCA rules. A good understanding of complaints procedures. A good understanding of other relevant legislation, including that related to financial crime and GDPR. A good understanding of updating policies and procedures. A good understanding of Training & Competency. Experience of T&C / Complaints & working within SM&CR would be an advantage. IT competent with knowledge of Intelligent Office an advantage. Excellent standard of written and verbal communication. Analytical mind and excellent attention to detail. Excellent time management skills with an ability to work to deadlines. Ability to coach and provide feedback.
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.
Some of our benefits: Private Medical Insurance Employee Pension Scheme 24 days Annual Leave Dental Insurance Life Assurance Health cash plan 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. #J-18808-Ljbffr
