Assistant Manager overseeing Compliance operations for Southeast Asia - based FinTech company. Engaging in regulatory alignment and policy implementation across several locations.
About the role
- Compliance Officer providing compliance leadership and support in Peterborough office of Titan Private Wealth. Ensuring adherence to FCA requirements and providing guidance to local teams.
Responsibilities
- 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.
- 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.
- 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 within the Peterborough office.
- 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.
- Knowledge of CASS considerations relevant to stockbroking activity.
- Relevant industry qualifications (e.g., CISI, ICA, or equivalent).
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
- Private medical insurance
- Group life insurance
- 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
- Lots of flexible benefits to choose from!
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
No Education Requirement
Location requirements
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