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About the Role

The Compliance team is integral to the company's success, ensuring all business operations adhere to stringent Financial Conduct Authority (FCA) regulations. This role offers the opportunity to make a significant impact on the company's growth and develop professionally within a respected and forward-thinking organisation. You will become part of a collaborative and professional team that plays an essential role in supporting the firm’s success, with broad exposure to the firm’s products, investments and operations.

Responsibilities

Provide strong technical regulatory expertise and practical, commercial advice to the business.
Support the growth of the Compliance team by developing the technical knowledge, skills and confidence of its members.
Deputise for the Director, Regulatory Compliance when required.
Support the Director, Regulatory Compliance in developing and maintaining the Group’s Compliance framework.
Provide day-to-day regulatory advice to the business, including at the early stage of initiatives.
Support the review and maintenance of compliance policies, procedures and guidance.
Support the firm’s engagement with regulators, including the preparation of responses to regulatory queries and requests.
Oversee delivery of the compliance monitoring programme, including planning, performing and reporting on reviews, and tracking agreed actions to completion.
Monitor regulatory developments, assess their impact and support the business in implementing regulatory change.
Assist in the preparation of regular compliance reporting, e.g. the Annual Compliance Officer’s Report, Annual Consumer Duty Report.
Contribute to compliance MI and risk data analytics that feed into the Risk & Controls Committee and other governance forums.
Ensure timely and accurate reporting and escalation of issues to the Director, Regulatory Compliance and Senior Management.
Act as a technical point of reference for the Compliance team, helping colleagues to build their regulatory knowledge and judgement.
Provide day-to-day guidance to Compliance team members on a dotted-line basis, including coaching and quality-reviewing their work.
Support the Director, Regulatory Compliance in the professional development and growth of team members.
Identify technical skills gaps within the team and help design and deliver training and knowledge-sharing sessions.
Help design and deliver compliance training to the wider business.
Work collaboratively with colleagues to embed a strong compliance culture across all business units within the Group.
Assist the business in developing new products including by ensuring adequacy of permission in the context of new solutions.
Support the business in the various aspects of existing products’ life-cycle.
Oversee the delivery of the firm financial promotion requirements across the firm’s multiple channels, seeking continued efficiency and consistency.

Requirements

Extensive compliance experience within investment management or the wider financial services sector.
Solid technical knowledge of the FCA Handbook, relevant regulatory and/or product framework, including AIFMD and MiFID, and their practical application in a retail context.
Experience of delivering compliance monitoring, regulatory reporting and advisory activity.
A good understanding of alternative asset classes and financial service compliance, with commercial awareness in problem solving.
Strong organisational and communication skills, with attention to detail and accuracy.
Experience of coaching, mentoring or providing technical guidance to compliance professionals.
Experience of coaching, mentoring or providing technical guidance to compliance colleagues, including in a matrix or dotted-line arrangement.
Knowledge of Consumer Duty, financial promotions including in the Restricted and Non-Mass Market Space, SM&CR, FCA’s rules and expectations in the context of retail distribution of products such as AIFs, UCIS, tax-advantaged investments, and services such as discretionary management.
Experience of supporting regulatory permission applications or direct engagement with the FCA.
A relevant professional qualification (e.g. ICA or CISI) or working towards one.
Familiarity with AI tools.
Proactive and self-motivated.
Able to see the bigger picture while managing the detail.
Ability to work under pressure and meet deadlines.
Strong analytical and problem-solving skills.
Ability to adapt to change and work in a fast-paced environment.
Excellent interpersonal skills, with the ability to build relationships and influence others.
Generous with knowledge and committed to developing others.
High level of professionalism and ethical conduct.
Strong commitment to quality and continuous improvement.

Skills

Technical regulatory expertise
Commercial advice
Team development
Regulatory monitoring
Regulatory change management
Regulatory reporting
Risk & Controls Committee reporting
Team guidance
Coaching
Quality review
Training design and delivery
New product development support
Financial promotion oversight
Relationship management
Communication skills
Analytical skills
Problem-solving skills
Interpersonal skills
AI tools

Location

Remote
Hybrid

Work Type

Full-time
Hybrid working

Experience Level

Assistant Director
Senior

Education Level

Relevant professional qualification (e.g. ICA or CISI) or working towards one

Salary/Compensations

Competitive salary

Benefits

Contributory pension
Hybrid/flexible working
Ongoing learning and development opportunities
Opportunities for professional development and career progression

About the Company

Since 2004, Triple Point has been bringing investment ideas to life and connecting capital with the right people and opportunities.
Manages more than £2.5 billion for a broad range of investors across five key investment strategies: Private Credit, Social Housing, Clean Heat, Energy and Venture.
Offers innovative investments to both private (retail) and institutional clients.
Has 230+ employees committed to leaving the world demonstrably better.
Certified B Corp.
Signed up to the Principles for Responsible Investment.
Named a Sunday Times 'Best Places to Work 2025 & 2026'.

Equal Opportunity

Triple Point is dedicated to providing fair and equal opportunities for all individuals, including both current and potential employees.
Discrimination of any kind based on factors such as age, disability, gender, sexual orientation, pregnancy, race, ethnicity, religion, gender identity, or marital status is not tolerated by the company.
The company aims to create a welcoming and diverse work environment where people from all walks of life feel valued and supported.
Actively encourages individuals from various backgrounds to apply for job vacancies and become part of the team.