Senior Compliance Associate (6Months - FTC)

Triple Point was founded in 2004 with the belief that connecting investing insights with the right resources and partners can deliver powerful solutions. Today, we manage more than £3.6 billion of assets for a broad range of investors, through four distinct investment strategies: Social Housing, Clean Heat, Private Credit and Venture. These are all areas where our expertise, empathy and resourcefulness make a real difference in unlocking long-term value.

The 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.

Role Summary

The role requires the successful candidate to work directly with and report to the Director – Regulatory Compliance in supporting the department deliver a range of oversight and advice activities. Predominantly these activities relate to 1) the approval of the financial promotions; 2) ongoing delivery of core compliance activities such as monitoring, policy and procedure enhancements; and 3) provision of general guidance and support on FCA regulated matters to the business.

The candidate will have extensive years relevant compliance experience within the alternative investment management sector and have a track record of working across a number of regulatory products and projects providing proactive, commercial and value-adding regulatory advice.

The successful candidate

• Will exhibit good level of technical skill, and relationship management skills, building trust with colleagues and advisers (pursuant to their experience).
• Should have a curious mindset, be commercial, tenacious and a lateral thinker, who can develop suitable compliance practices that protect our investors, the business and wider stakeholders.
• Should have experience of regulated investment products (preferably with a retail bias), financial promotions and the associated AIFMD and MiFID regulations.

Key Responsibilities

• Take responsibility for reviewing and approving financial promotions in collaboration with the Marketing function, ensuring ongoing compliance with FCA standards.
• Deliver assigned elements of the Annual Compliance Monitoring Plan, including conducting reviews, tracking actions, and reporting findings.
• Contribute to the review and maintenance of compliance policies, procedures, and monitoring programmes across business units and products.
• Monitor regulatory developments and support the implementation of applicable changes; lead compliance change projects where appropriate.
• Prepare or support regular internal compliance reporting (e.g. Annual Compliance Officer’s Report), escalating issues or risks to the Director of Regulatory Compliance or senior management in a timely and accurate manner.
• Prepare and submit to the FCA all non-financial filings in relation to the Group’s MiFID and AIFMD activities
• Provide in-house training such as compliance induction for new joiners and conduct rules
• Work collaboratively across departments to help embed a strong compliance and risk-aware culture throughout the Group

Knowledge and Experience

• The candidate should have a good understanding of the financial services regulatory framework with specific focus on financial promotions in retail investment products.
• The candidate should have a solid knowledge of regulations i.e., AIFMD, MiFID
• The candidate will have good organisational and communication skills.
• Proven attention to detail and accuracy

Qualities and Competencies

• Proactive and self-motivated
• 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
• High level of professionalism and ethical conduct
• Strong commitment to quality and continuous improvement