Senior Compliance Advisor
Convatec
ERP
Compliance Officer
Titan Wealth Holdings
full-time
Posted on:
Location: 🇬🇧 United Kingdom
Visit company websiteJob Level
Mid-LevelSenior
About the role
- The Titan Group provides a broad range of services across the whole wealth value chain – financial planning, investment management, platform, trading, settlement and custody services.
- Titan Wealth is expanding rapidly through strategic acquisitions, combining start-up energy with private equity backing.
- Titan Wealth Planning (TWP) provides advice on wealth management, employee benefits and retirement planning.
- Role: experienced and technically strong Compliance Officer focusing on complaint handling, root cause analysis and advisory oversight across multiple financial planning businesses.
- Responsibilities:
- Act as a key compliance advisory point across TWP, supporting regulated financial advice activities.
- Manage and oversee the complaint handling process, ensuring timely resolution, root cause analysis and appropriate remedial action.
- Support the design, implementation and review of compliance policies and procedures, ensuring alignment with FCA requirements and Titan Wealth Group standards.
- Deliver clear and pragmatic compliance advice to business stakeholders on regulatory matters, including suitability of advice, financial promotions, clients’ disclosures and product governance.
- Participate in compliance monitoring reviews and thematic projects, providing expert input where required.
- Support training and development initiatives to enhance compliance understanding across adviser and operational teams.
- Contribute to regular compliance reporting to the Head of Compliance Advisory and senior management.
- Monitor regulatory developments and address their impact on the firm, communicating implications and recommending actions.
Requirements
- Proven track record in compliance roles within established and large financial advisory firms
- Deep knowledge and understanding of FCA regulatory requirements, especially around advice, suitability, complaint handling and Consumer Duty
- Extensive experience managing and resolving complaints within a regulated financial advice environment.
- Strong technical knowledge of financial planning products and services (e.g. pensions, investments, protection, tax planning)
- Experience working across multiple regulated advice business is highly desirable.
- Ability to balance regulatory requirements with commercial business understanding.
- Strong stakeholder engagement and communication skills, with ability to influence and challenge constructively.
- Professional qualifications such as Level 4 Diploma in Financial Planning (or equivalent)
