Titan Wealth is a fast-growing wealth management business, both in the UK and internationally. It has evolved a fairer, more efficient and effective business model, structured to deliver leading advice-led wealth management services, giving financial advisers and their clients the best opportunity to fulfil their dreams and ambitions.
We provide a dynamic work environment full of opportunity, one where both individual and team initiative and contribution is encouraged, so that together we can deliver better outcomes for our clients over the long term.
Role Overview
Titan Private Wealth is seeking an experienced and proactive Compliance Officer to provide on site compliance leadership and day to day support within our Peterborough office. This individual will be a core member of the Titan Private Wealth Compliance team.
The role requires strong working knowledge of FCA expectations for retail investment advice, portfolio management, order handling, appropriateness, suitability, conflicts, CASS awareness, and general conduct requirements.
The ideal candidate will be confident working independently, approachable to staff at all levels, and capable of providing high quality, practical compliance guidance that supports good customer outcomes and business effectiveness.
Key Responsibilities
Day-to-Day Compliance Support
Act as the primary point of contact for all compliance related queries in the Peterborough office
Provide daily regulatory advice to investment directors, administrative staff, and local management
Support local teams in understanding and meeting FCA requirements, Titan Wealth policies, and Conduct Rules
Compliance Monitoring & Oversight
Deliver and document compliance monitoring work allocated as part of the TPW Compliance Monitoring Plan
Perform file reviews, suitability checks, monitoring of investment activity, and periodic thematic reviews
Oversee the conduct and compliance of Investment Directors within the office, ensuring adherence to best practice and policy
Governance & Reporting
Serve as a member of the Peterborough Management Committee, contributing compliance input into local governance and escalating matters to the TPW Board where appropriate
Provide timely reporting to the SMF16/17 on any issues, breaches, risks, trends, or areas requiring remediation
Assist with the preparation of management information (MI), commentary, and actions for internal governance forums
Policy, Process & Risk Management
Support the implementation, communication and maintenance of TPW compliance policies and procedures
Promote a strong compliance culture, good customer outcomes, and awareness of Consumer Duty principles
Identify regulatory risks and assist in creating and tracking remediation plans
Training & Staff Engagement
Deliver local compliance briefings, onboarding support and periodic training on relevant regulatory topics
Act as an approachable, trusted adviser who promotes a supportive and open compliance culture
Experience & Skills Required - Essential
Strong compliance experience within retail investment management, wealth management, or stockbroking
Experience working directly with retail clients from a compliance oversight or advisory perspective
Solid understanding of FCA rules including COBS, SYSC, PROD, Consumer Duty, and SM&CR
Experience conducting compliance monitoring, file reviews, or supervisory oversight
Ability to work independently, exercise sound judgement, and proactively identify risks
Excellent communication skills with the ability to influence and support stakeholders
Desirable
Previous experience in a multi site firm or acting as onsite compliance presence
Knowledge of CASS considerations relevant to stockbroking activity
Relevant industry qualifications (e.g., CISI, ICA, or equivalent)
Personal Attributes
Approachable and collaborative, with a willingness to support the business in a helpful, practical, and proactive manner
Confident operating as the local compliance representative and trusted adviser
High attention to detail with strong organisational skills
Professional integrity and commitment to good customer outcomes
Our employees are talented people, distinguished by excellence. You will be able to demonstrate a willingness to embrace the Company values of:
Creativity – we recognise we need new ways of thinking, learning and doing to both improve our own productivity and efficiency as well as to help us stay ahead of competitors.
Commitment – we are team with the willingness to put time, effort and energy into driving change in the organisation, going the extra mile.
Collaboration – we need teamwork amongst ourselves and with partners to generate more innovative, efficient and effective solutions and thereby a greater sense of achievement.
Terms
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
The Titan Wealth Group is firmly committed to fostering an inclusive and equitable environment for everyone who works with us, regardless of their race, age, gender, sexual orientation, religion, physical ability or disability, or political affiliation. We believe that having a diverse team allows us to create the best possible outcomes for our clients and team members. We strive to provide equal opportunities in all aspects of the workplace with respect to recruitment and career advancement, pay and benefits, training and development opportunities and other job-related activities.