Compliance Manager (Generalist)

Titan Wealth Holdings Limited; Harrogate; On-site; GBP 40,000 - 60,000; Full time

Job summary

A financial planning firm in Harrogate is seeking a full-time Compliance Manager to oversee adherence to FCA regulations and ensure high standards within the compliance framework. The ideal candidate will possess strong compliance advisory experience and demonstrate leadership skills. Join us to help maintain the integrity of our national adviser network and support our mission of delivering exceptional financial services.

Qualifications

• Experience in compliance advisory within regulated environments.
• Strong understanding of FCA regulations and internal controls.
• Leadership experience in compliance frameworks.

Responsibilities

• Oversee compliance with FCA regulations and Consumer Duty.
• Support the Head of Compliance Advisory in team leadership.
• Ensure adherence to regulatory obligations across adviser network.

Job description

Overview

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. Titan Wealth is expanding rapidly through strategic acquisitions and offers a unique combination of start-up energy and the security of private equity backing.

Titan Wealth Planning (TWP) is a subsidiary of Titan Wealth. Our focus is providing best-in-class advice on wealth management, employee benefits, and retirement planning. Our mission is to help businesses and their employees explore, set, and achieve their financial goals.

Titan Wealth Planning (TWP) operates within a tightly regulated financial planning landscape, where ensuring compliance with FCA regulations, internal controls and Consumer Duty requirements is paramount. To maintain high standards and mitigate regulatory risk, TWP requires a full-time Compliance Manager who is a generalist within the Compliance Advisory field. The proposed Business Case for this individual will bring good team oversight and leadership experience to the compliance framework. This role will support the Head of Compliance Advisory and ensure consistent adherence to regulatory obligations across our national adviser network.