Titan Wealth Holdings is hiring a
Compliance Officer

Summary

The job is for a Compliance Officer in Titan Wealth Holdings Limited, which can be based in Bristol or remotely. The role involves ensuring compliance with relevant legislation and procedures, assisting the Compliance Director, and providing guidance to advisers and support staff. The company values professionalism, trust, innovation, and is committed to fostering an inclusive and equitable environment.

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
• 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

Responsibilities

• Assisting the Compliance Director to implement and review strategic business plans for the Compliance function
• Assisting the Compliance Director with team 1-1’s and supervision
• Dealing with day-to-day team queries in 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
• Up-dating policies and procedures as and when required
• Contribute 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

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!