Compliance Monitoring Analyst in Harrogate

Titan Wealth is a fast‑growing wealth management business, both in the UK and internationally. It has evolved a fairer, more efficient and effective business model structured to deliver leading advice‑led wealth management services, giving financial advisers and their clients the best opportunity to fulfil their dreams and ambitions.

Reporting into the Head of Compliance Monitoring, this role supports Titan Wealth by planning reviews, testing adherence to all FCA regulation and standards, documenting findings and collaborating with business units to strengthen controls and foster a proactive compliance culture.

Responsibilities

• Assist the Head of Compliance Monitoring with planning risk‑based compliance monitoring reviews across the Titan Wealth holdings group and subsidiary entities.
• Undertake review of documentation including procedures and policies to verify adherence to relevant FCA or other regulatory standards, including financial crime and data protection legislation.
• Perform sample testing using defined testing plans and sample selection methodology, highlighting any exceptions for discussion with the relevant business unit and compliance team.
• Ensure records of all samples, testing and query resolution/exceptions are retained in good order and as per compliance monitoring team procedures.
• Assist with drafting findings and reports at the conclusion of each review and for entity board reporting.
• Track agreed monitoring findings to completion with business unit action owners, retaining evidence of finding closure and performing validation testing for higher risk findings.
• Collaborate with different business units and teams to promote a culture of compliance, providing advice and guidance where necessary.
• Stay updated with relevant laws, regulations and industry trends to ensure ongoing compliance.
• Support the development and implementation of internal compliance policies and procedures.
• Occasionally travel to other Titan offices to undertake monitoring on‑site or for meetings or other compliance‑related activities.
• Support broader Titan Wealth Compliance team with ad‑hoc projects.

Requirements

• Previous experience in compliance or internal audit within financial services advisory or fund management sectors.
• Experience with arranging custody through third‑party outsourcing arrangements and platforms.
• Familiarity with financial crime and GDPR compliance is preferred.
• Strong understanding of financial regulations, particularly those pertaining to the FCA.
• Strong attention to detail and analytical skills.
• Ability to identify compliance issues and recommend appropriate actions.
• Strong verbal and written communication skills.
• Ability to work both independently and as part of a small, collaborative team.
• Ability to manage multiple tasks and prioritise effectively.
• Ability to travel to other UK offices as needed.
• Relevant professional qualifications such as ICA, CISI or similar financial planning would be advantageous.
• Knowledge of systems used in financial advisory, fund management and custody functions.

Values

• Creativity – we recognise the need for new ways of thinking, learning and doing to improve our productivity and efficiency.
• Commitment – we put time, effort and energy into driving change and going the extra mile.
• Collaboration – we work together with partners to generate innovative, efficient and effective solutions.

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
• Office Christmas close (3 days)
• 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
• Flexible benefits to choose from

EEO Statement

Titan Wealth Group is firmly committed to fostering an inclusive and equitable environment for everyone who works with us, regardless of 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.