At a Glance
- Tasks: Lead compliance initiatives and provide regulatory expertise in a dynamic investment environment.
- Company: Join Triple Point, a certified B Corp committed to making a positive impact.
- Benefits: Enjoy competitive salary, flexible working, and professional development opportunities.
- Other info: Be part of a collaborative culture that values curiosity and innovation.
- Why this job: Make a real difference in compliance while growing your career in a supportive team.
- Qualifications: Extensive compliance experience in financial services and strong relationship management skills.
The predicted salary is between 56700 - 69300 £ per year.
Since 2004, we’ve been bringing investment ideas to life and connecting capital with the right people and opportunities. Today, we manage 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. These strategies underpin the innovative range of investments we offer to both private (retail) and institutional clients. There are 230+ employees at Triple Point, all committed to leaving the world demonstrably better than we found it. That’s why we’re a certified B Corp, signed up to the Principles for Responsible Investment, and were named a Sunday Times 'Best Places to Work 2025 & 2026'. If this sounds like an environment where you would flourish, then read on…
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.
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.
- 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.
Compliance Framework and Advisory:
- Support the Director, Regulatory Compliance in developing and maintaining the Group’s Compliance framework.
- Provide day-to-day regulatory advice to the business.
- Support the review and maintenance of compliance policies, procedures and guidance.
- Support the firm’s engagement with regulators.
Monitoring, Regulatory Change and Reporting:
- Oversee delivery of the compliance monitoring programme.
- Monitor regulatory developments and assess their impact.
- Assist in the preparation of regular compliance reporting.
- Ensure timely and accurate reporting and escalation of issues.
Team Development and Technical Capability:
- Act as a technical point of reference for the Compliance team.
- Provide day-to-day guidance to Compliance team members.
- Identify technical skills gaps within the team and help design and deliver training.
- Help design and deliver compliance training to the wider business.
New products, product life-cycle and financial promotion:
- Assist the business in developing new products.
- Support the business in the various aspects of existing products’ life-cycle.
- Oversee the delivery of the firm financial promotion requirements.
The successful candidate will exhibit strong technical and relationship management skills, building trust with colleagues, senior stakeholders and advisers. They 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. Experience of coaching, mentoring or providing technical guidance to compliance professionals is essential.
Experience:
- Extensive compliance experience within investment management or the wider financial services sector.
- Solid technical knowledge of the FCA Handbook and relevant regulatory frameworks.
- Experience of delivering compliance monitoring, regulatory reporting and advisory activity.
- Strong organisational and communication skills.
Personal Qualities:
- Proactive and self-motivated.
- Able to see the bigger picture while managing the detail.
- Ability to work under pressure and meet deadlines.
- Excellent interpersonal skills.
Why Join us?
You’ll join a talented, collaborative team in a connected environment where ideas and initiative are valued. We offer a competitive salary, a comprehensive benefits package, and genuine opportunities for growth and progression.
Triple Point is dedicated to providing fair and equal opportunities for all individuals. Our aim is to create a welcoming and diverse work environment where people from all walks of life feel valued and supported.
Assistant Director, Regulatory Compliance in London employer: Triple Point
Triple Point is an exceptional employer located in London, offering a dynamic and collaborative work environment where innovation thrives. As a certified B Corp, we prioritise responsible investment and employee well-being, providing a comprehensive benefits package, hybrid working options, and ample opportunities for professional growth. Join us to be part of a team that values thoughtful action and continuous improvement, ensuring every employee can contribute meaningfully to our mission of leaving the world better than we found it.
StudySmarter Expert Advice🤫
We think this is how you could land Assistant Director, Regulatory Compliance in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Triple Point looking for candidates who are engaged and informed.
We think you need these skills to ace Assistant Director, Regulatory Compliance in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Triple Point. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Triple Point
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Triple Point’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
