Compliance Officer - Asset Management

1w1 week ago

Titan Wealth

London, GB · Full-time · £60,000 – £90,000

About this role

Titan Wealth is a fast-growing wealth management business in the UK and internationally, with a fairer, more efficient business model for advice-led services. The Compliance Officer supports the SMF 16/17 in the institutional asset management division. Funds include UCITS, AIFs and ICAVs domiciled in the UK and Ireland, sold via platforms, group firms and model portfolios to retail customers.

This wide-ranging role covers all compliance topics for investment funds and generic responsibilities. Daily tasks involve compliance monitoring, policy reviews, breach analysis and financial promotion approvals. Additional duties include monitoring PA dealing requests and Gifts and Entertainment submissions.

The role provides a dynamic work environment encouraging individual and team initiative for better client outcomes. Support extends to AML, financial crime, due diligence, audits and management information for committees and boards. Adherence to FCA regulations and consumer duty ensures good client outcomes.

Employees embrace company values of Creativity, Commitment and Collaboration to drive change and innovation. Proactive self-starters thrive in this busy, evolving setting. Opportunities arise to contribute to wider Titan projects and long-term client success.

Requirements

Previous compliance experience in an Asset Management, Fund Administration or ACD/Management Company environment
Experience of performing monitoring activities, audits or other forms of reviews
Good knowledge of MiFID, UCITS and AIFMD requirements, AML and financial crime, fund and product governance, systems and controls, conflicts of interest, consumer duty
High level of attention to detail
Proactive self-starter able to work effectively in a busy and evolving environment
Candidates with investment operations experience looking to move to investment compliance may be considered
Preferably an IMC holder or relevant CISI Compliance exams achieved

Responsibilities

Support the SMF 16/17 in all investment compliance oversight activities
Undertake compliance monitoring activities, ensuring relevant evidence is recorded appropriately and findings resolved timely
Ensure compliance policies are reviewed and updated regularly
Provide compliance input into projects as required
Review breaches and operational errors, liaising with the ACD and Management Company for resolutions
Monitor PA dealing requests and Gifts and Entertainment submissions
Review and approve financial promotions
Assist the SMF16 in preparation of management information for Committee and Board reports