Head of Compliance - Asset Management (Institutional)

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.

We provide a dynamic work environment full of opportunity, one where both individual and team initiative and contribution is encouraged, so that together we can deliver better outcomes for our clients over the long term.

The Head of Institutional Compliance – Asset Management position will hold the SMF 16/17 position for Titan Investment Solutions (‘TIS’) a Titan Wealth group company. In their role, responsibilities will include; keeping up to date knowledge of regulatory developments at UK/EU level with particular focus on FCA, FOS and FSCS developments as well as overseeing in reviewing and tracking relevant FCA consultations and other policy documents.

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 GRC Director.

Providing regulatory advice and guidance to all parts of the division including the board/senior management

Manage a small team, provide coaching and mentorship to junior team members.

Ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.

Oversee regular risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.

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.

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

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

Feed into the Group thematic monitoring plan.

Review and approve marketing material and presentations and assist

Work in partnership with senior stakeholders across the pillar and wider business to implement and embed an appropriate culture that promotes an understanding and knowledge of regulation.

Oversee regulatory returns submissions to all relevant authorities with particular emphasis on FCA returns..

Contact point for compliance related queries by the ACD and ManCo

Assist in the Compliance due diligence process for ACD’s and ManCo’s.

Monitoring, recording, and dealing with complaints against the regulated firm(s).

Drafting and maintaining corporate governance documents in conjunction with Group policies.

Have a good knowledge of topical and relevant regulatory regimes such as, but not limited to, MiFID 2, Consumer Duty, UCITS, ICAV, GDPR, SMCR and Consumer Duty regulations.

Performing and supporting work relating to one-off compliance and regulatory projects, as these arise from time-to-time.

To carry out other duties as may reasonably be required

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.

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.