At a Glance
- Tasks: Lead compliance efforts and support teams in meeting regulatory standards.
- Company: Join Titan Private Wealth, a dynamic investment management firm in Harrogate.
- Benefits: Enjoy competitive salary, hybrid work, and generous leave policies.
- Other info: Embrace a culture of creativity, collaboration, and commitment to excellence.
- Why this job: Make a real impact in compliance while working with a supportive team.
- Qualifications: Experience in retail investment management and strong knowledge of FCA rules required.
The predicted salary is between 36000 - 60000 € per year.
About us
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. Titan Private Wealth is a well-established independent investment management business who provide portfolio management and stockbroking services to private clients. With full in-house back office, research and support teams, Titan Private Wealth are committed to providing an exceptional level of service to our clients which is achieved by developing long‑term and trusted relationships.
Titan Private Wealth our investment management arm, recently rebranded from Cardale, founded in 2003 and based in Harrogate.
Role Overview
Titan Private Wealth is seeking an experienced and proactive Compliance Officer to provide on site compliance leadership and day to day support within our Peterborough office. This individual will be a core member of the Titan Private Wealth Compliance team. The role requires strong working knowledge of FCA expectations for retail investment advice, portfolio management, order handling, appropriateness, suitability, conflicts, CASS awareness, and general conduct requirements. The ideal candidate will be confident working independently, approachable to staff at all levels, and capable of providing high quality, practical compliance guidance that supports good customer outcomes and business effectiveness.
Key Responsibilities
- Day-to-Day Compliance Support
Act as the primary point of contact for all compliance related queries in the Peterborough office. Provide daily regulatory advice to investment directors, administrative staff, and local management. Support local teams in understanding and meeting FCA requirements, Titan Wealth policies, and Conduct Rules.
- Compliance Monitoring & Oversight
Deliver and document compliance monitoring work allocated as part of the TPW Compliance Monitoring Plan. Perform file reviews, suitability checks, monitoring of investment activity, and periodic thematic reviews. Oversee the conduct and compliance of Investment Directors within the office, ensuring adherence to best practice and policy.
- Governance & Reporting
Serve as a member of the Peterborough Management Committee, contributing compliance input into local governance and escalating matters to the TPW Board where appropriate. Provide timely reporting to the SMF16/17 on any issues, breaches, risks, trends, or areas requiring remediation. Assist with the preparation of management information (MI), commentary, and actions for internal governance forums.
- Policy, Process & Risk Management
Support the implementation, communication and maintenance of TPW compliance policies and procedures. Promote a strong compliance culture, good customer outcomes, and awareness of Consumer Duty principles. Identify regulatory risks and assist in creating and tracking remediation plans.
- Training & Staff Engagement
Deliver local compliance briefings, onboarding support and periodic training on relevant regulatory topics. Act as an approachable, trusted adviser who promotes a supportive and open compliance culture.
Experience & Skills Required - Essential
- Strong compliance experience within retail investment management, wealth management, or stockbroking.
- Experience working directly with retail clients from a compliance oversight or advisory perspective.
- Solid understanding of FCA rules including COBS, SYSC, PROD, Consumer Duty, and SM&CR.
- Experience conducting compliance monitoring, file reviews, or supervisory oversight.
- Ability to work independently, exercise sound judgement, and proactively identify risks.
- Excellent communication skills with the ability to influence and support stakeholders.
Desirable
- Previous experience in a multi site firm or acting as onsite compliance presence.
- Knowledge of CASS considerations relevant to stockbroking activity.
- Relevant industry qualifications (e.g., CISI, ICA, or equivalent).
Personal Attributes
- Approachable and collaborative, with a willingness to support the business in a helpful, practical, and proactive manner.
- Confident operating as the local compliance representative and trusted adviser.
- High attention to detail with strong organisational skills.
- Professional integrity and commitment to good customer outcomes.
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.
Terms
- Competitive salary
- Attractive Employee Pension Scheme (7.5% employer & minimum 3% employee)
- 25 days Annual Leave + public holidays
- Buy and sell holidays up to 5 days
- A range of benefits which includes private medical insurance, Group life insurance, and income protection insurance.
- Hybrid working
- Further education and training support
- Discretionary performance related bonus
- Confidential Employee Assistance Programme
- 2 days per year for voluntary work
- 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.
Compliance Officer - Harrogate - Hybrid employer: Titan Wealth Holdings Limited
At Titan Private Wealth, we pride ourselves on being an exceptional employer, offering a supportive and collaborative work culture that values creativity and commitment. Our Harrogate location provides a vibrant environment with opportunities for professional growth, competitive benefits including a generous pension scheme, hybrid working options, and a strong focus on employee well-being through various health and wellness initiatives. Join us to be part of a diverse team dedicated to delivering outstanding service while fostering your career in compliance within the wealth management sector.
Contact Detail:
Titan Wealth Holdings Limited Recruiting Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer - Harrogate - Hybrid
✨Tip Number 1
Network like a pro! Get out there and connect with people in the industry. Attend events, join online forums, or even hit up LinkedIn. The more people you know, the better your chances of landing that Compliance Officer role.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance best practices. Be ready to discuss how you've tackled compliance challenges in the past. Show them you're not just knowledgeable but also passionate about ensuring good customer outcomes.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website! We want to see your application directly. Plus, it gives you a chance to showcase your understanding of Titan's values and how you can contribute to our compliance culture.
We think you need these skills to ace Compliance Officer - Harrogate - Hybrid
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Officer role. Highlight your relevant experience in retail investment management and compliance oversight. We want to see how your skills align with our needs!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to Titan Private Wealth. Keep it engaging and personal – we love a good story!
Showcase Your Knowledge:Demonstrate your understanding of FCA rules and regulations in your application. Mention specific experiences where you've applied this knowledge, as it shows us you're ready to hit the ground running.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy!
How to prepare for a job interview at Titan Wealth Holdings Limited
✨Know Your Compliance Stuff
Make sure you brush up on FCA rules like COBS, SYSC, and Consumer Duty. Being able to discuss these confidently will show that you're not just familiar with compliance but that you can apply it practically in the role.
✨Show Your Proactive Side
Prepare examples of how you've identified risks or improved compliance processes in your previous roles. This will demonstrate your ability to work independently and take initiative, which is key for a Compliance Officer.
✨Be Approachable and Collaborative
Think about how you can convey your approachable nature during the interview. Share experiences where you’ve successfully engaged with teams or provided support, as this aligns with Titan's values of collaboration and commitment.
✨Ask Insightful Questions
Prepare thoughtful questions about Titan's compliance culture and how they handle regulatory changes. This shows your genuine interest in the company and helps you assess if it's the right fit for you.
