Assistant Director, Regulatory Compliance

The Function & Team

The Compliance team is part of the 2nd line of defence who has responsibility and oversight of the Governance, Risk & Compliance functions within TriplePoint.  The Team is integral to the company's success, ensuring that all business operations adhere to the stringent regulations set by the Financial Conduct Authority (FCA).

Joining the Triple Point Compliance Team means becoming part of a dynamic and supportive environment where your contributions directly impact the company's operations and overall success.

The team works closely with various departments to ensure that all business activities comply with regulatory requirements, thereby enabling the company to operate smoothly and efficiently. This role offers the opportunity to make a significant impact on the company's growth and to develop professionally within a respected and forward-thinking organisation.

By joining the Compliance team within the GRC function, you will become part of a collaborative and professional team that plays an essential role in supporting the firm’s success. Your contributions will directly influence how the business meets its regulatory obligations, while providing you with broad exposure to the firm’s products, investments and operations. This is an opportunity to strengthen Triple Point’s compliance environment and to play a meaningful role in sustaining the company’s long-term resilience and reputation.  The role reports to the Director, Regulatory Compliance.

Key Responsibilities

The Assistant Director, Regulatory Compliance will work alongside the Director, Regulatory Compliance as a deputy of a small, focused compliance department, providing technical support and leadership to the team, operating in a dynamic and fast-moving organisation.

The role has two core purposes: to provide strong technical regulatory expertise and practical, commercial advice to the business; and to support the growth of the Compliance team by developing the technical knowledge, skills and confidence of its members. The successful candidate will deputise for the Director, Regulatory Compliance when required.

The candidate will have extensive relevant compliance experience within the investment management or wider financial services sector, and a track record of providing proactive, commercial and value-adding regulatory advice in collaboration with Risk and Legal colleagues.

Compliance Framework and Advisory

• Support the Director, Regulatory Compliance in developing and maintaining the Group’s Compliance framework, contributing technical and operational insight on best-practice frameworks and monitoring.
• Provide day-to-day regulatory advice to the business, including at the early stage of initiatives, taking into account products and services, target markets and distribution strategy in support of Triple Point’s growth objectives.
• Support the review and maintenance of compliance policies, procedures and guidance, ensuring they remain current and fit for purpose.
• Support the firm’s engagement with regulators, including the preparation of responses to regulatory queries and requests.

Monitoring, Regulatory Change and Reporting

• 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.

Team Development and Technical Capability

• 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, and support the Director, Regulatory Compliance in their professional development and growth.
• 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.

New products, product life-cycle and financial promotion

• 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.

The successful candidate:

• Will exhibit strong technical and relationship management skills, building trust with colleagues, senior stakeholders and advisers;
• Should have a curious mindset, be commercial, tenacious and a lateral thinker, who can help develop suitable compliance practices that protect our investors, the business and wider stakeholders;
• Should have experience of coaching, mentoring or providing technical guidance to compliance professionals.

Experience

Essential

• 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.

Preferred

• 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

Personal Qualities

• 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.

Why Join us?

• You’ll join a talented, collaborative team in a connected environment where ideas and initiative are valued.
• Be part of a growing and innovative team
• We offer a competitive salary, a comprehensive benefits package, and genuine opportunities for growth and progression.
• Opportunities for professional development and career progression.

At Triple Point, high performance means living our values every day:

·       Stay Curious.

·       Be Generous.

·       Take Thoughtful Action.

·       Pull Together.

·       Own It.

In line with our values Stay Curious and Take Thoughtful Action every employee has access to AI tools. We see technology as a co-pilot, helping us improve efficiency and insight while keeping decisions grounded in thoughtful human judgement.