Assistant Director, Regulatory Compliance

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' . I f this sounds like an environment where you would flourish, then read on… 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 sui