Regulatory Affairs Manager specializing in food industry compliance across US/North America. Leading regulatory strategies and communication for food ingredients and products.
About the role
- Compliance Officer providing regulatory support for Titan Private Wealth in a hybrid role. Involves advising on compliance matters and ensuring adherence to FCA regulations.
Responsibilities
- 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.
- 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.
- 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.
- 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.
- 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.
Requirements
- 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.
- Previous experience in a multi site firm or acting as onsite compliance presence (desirable).
- Knowledge of CASS considerations relevant to stockbroking activity (desirable).
- Relevant industry qualifications (e.g., CISI, ICA, or equivalent) (desirable).
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
- 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!
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
No Education Requirement
Location requirements
Compliance Analyst participating in financial compliance processes at Prex. Utilizing data analysis for risk identification and maintaining regulatory compliance.
Control, Risk and Compliance Analyst at Desjardins managing compliance for savings and investment products. Preparing reports and liaising with stakeholders to ensure regulatory compliance and operational risk management.
Senior Manager leading technology - enabled GRC solutions and guiding compliance frameworks. Collaborates with teams to ensure scalable and practical implementations for Crowe's regulatory practices.
Alternant en conformité réglementaire chez Sanofi, contribuant à la conformité mondiale des activités de santé. Collaborant avec une équipe pour développer compétences tout en soutenant l'avenir de la santé.
Environmental Professional ensuring air compliance and permit management for oil and gas operations. Collaborating with teams on compliance, reporting, and regulatory issues across various states.
Senior Audit & Compliance Specialist developing audit schedules and conducting audits in insurance sectors. Collaborating with teams to drive quality improvements across claims procedures and training.
Senior Manager overseeing quality compliance and implementation of Quality Systems in external manufacturing. Supporting compliance with regulatory standards across Global External Manufacturing network at Bristol Myers Squibb.
Analyst supporting energy efficiency programs at Eversource. Reporting operations, regulatory support, and portfolio forecasting for clean energy initiatives in Massachusetts.
Technology Compliance Officer at Specsavers ensuring regulatory compliance across Northern Europe. Guiding product teams in understanding obligations while building compliance into design and process.