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Compliance Officer - Harrogate - Hybrid

Titan Wealth Holdings Limited

About us

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.  As part of this Titan is also an active acquirer of UK based asset managers and other wealth related businesses.


Titan Private Wealth is a well-established independent investment management business who provide portfolio management and stockbroking services to private clients.  With full in-house back office, research and support teams, Titan Private Wealth are committed to providing an exceptional level of service to our clients which is achieved by developing long-term and trusted relationships. Titan Private Wealth our investment management arm, recently rebranded from Cardale, founded in 2003 and based in Harrogate.


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 stakeholdersDesirable
  • 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

    - 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.