Compliance Officer (Asset Management)

AnaVation LLC; Greater London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A wealth management firm seeks a Compliance Officer to support compliance activities in the institutional asset management division. The role involves monitoring compliance policies, assisting in audits, and ensuring all activities align with FCA regulations. Candidates should possess experience in compliance within asset management and a strong understanding of MIFID, UCITS, and AIFMD. The offer includes a competitive salary, attractive pension scheme, and hybrid working options.

Benefits

Competitive salary

Private medical insurance

Discretionary performance related bonus

25 days Annual Leave + public holidays

Flexible benefits options

Qualifications

• Previous compliance experience in Asset Management or Fund Administration.
• Experience performing monitoring activities and audits.
• Strong knowledge of MIFID, UCITS, AIFMD, AML, and fund governance.

Responsibilities

• Support SMF 16/17 in compliance oversight activities.
• Undertake compliance monitoring activities.
• Review compliance policies and update regularly.
• Assist in due diligence requests and audits.

Skills

Compliance experience

Attention to detail

Proactivity

Education

IMC or relevant CISI Compliance exams

Job description

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.

The Compliance Officer’s role is to support the SMF 16/17 in the institutional asset management division of the Titan Wealth Group. The investment funds managed by Titan are UCITS, AIFs and ICAVs domiciled in the UK and Ireland sold directly via platforms and through other firms within the Titan Group. The funds are also sold through model portfolios which are distributed to retail customers via IFAs and wealth managers.

This is a wide-ranging role covering all compliance topics relating to both investment funds and other more generic compliance responsibilities.

Responsibilities

• 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.

Critical Skills and Experience required

• 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.

Qualifications (Essential & Desirable)

• Preferably an IMC holder or relevant CISI Compliance exams achieved.

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.