Compliance Officer – Asset Management
Titan Wealth Holdings
full-time
Posted on:
Location Type: Hybrid
Location: London • United Kingdom
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About the role
- Support the SMF 16/17 in all investment compliance oversight activities.
- Undertake compliance monitoring activities, ensuring that relevant evidence is recorded appropriately and any findings are resolved on a timely basis.
- Ensure compliance policies are reviewed and updated on a regular basis.
- Provide compliance input into projects as required.
- Review breaches and operational errors, liaising with the ACD and Management Company to ensure satisfactory resolutions.
- Monitor PA dealing requests and Gifts and Entertainment submissions.
- Review and approve financial promotions.
- Assist the SMF16 in the preparation of management information for Committee and Board reports.
- Assist the SMF16 in due diligence requests and audits.
- Assist the SMF17 in all areas of AML & financial crime.
- Adherence to consumer duty and ensuring good client outcomes.
- Support with wider Titan projects as and when required.
- Adhere to all FCA regulations including consumer duty.
Requirements
- Previous compliance experience in an Asset Management, Fund Administration or ACD/Management Company environment necessary.
- Candidates with previous experience in an investment operations role looking to move to investment compliance may be considered.
- Experience of performing monitoring activities, audits or other forms of reviews.
- The candidate is expected to have good knowledge in the following subjects: MIFID, UCITS and AIFMD requirements, AML and financial crime, fund and product governance, systems and controls, conflicts of interest, consumer duty.
- Candidates must have a high level of attention to detail.
- A proactive self-starter with the ability to work effectively in a busy and evolving environment.
Benefits
- Competitive salary
- Attractive Employee Pension Scheme (7.5% employer & minimum 3% employee)
- 25 days Annual Leave + public holidays
- Buy and sell holidays up to 5 days
- Office Christmas close (3-days)
- A range of benefits which includes private medical insurance, Group life insurance, and income protection insurance.
- Hybrid working
- Further education and training support
- Discretionary performance related bonus
- Confidential Employee Assistance Programme
- 2 days per year for voluntary work
- And lots of flexible benefits to choose from!
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance monitoringauditsdue diligencefinancial promotions reviewAMLfinancial crimeinvestment complianceMIFIDUCITSAIFMD
Soft skills
attention to detailproactiveself-startereffective communicationproblem-solvingorganizational skillsability to work in a busy environmentcollaborationadaptabilitytime management