Pricing

Log inSign up
Hiring

Compliance Associate (12m Ftc)

London, United Kingdom

Job description

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.

Our distinctiveness comes from our ability to connect the dots to get to the heart of any challenge, which makes us an essential partner to our clients and our investors, while leaving the world demonstrably better than we found it. We take our commitments seriously, which is why we’re a certified B-Corp and signed up to the Principles for Responsible Investment.

There are 250 of us at Triple Point. Engineers rub shoulders with lawyers, and accountants work alongside investment professionals. It’s important to us everyone’s voices are heard, and that everyone can contribute to decision-making. We’re looking for people who share our values because applying different perspectives towards a common goal drives us forward in unexpected and exciting ways.

Role Summary

The role requires the successful candidate to work directly with the Director – Regulatory Compliance in supporting the department deliver a range of oversight and advice activities predominantly related to the design, launch and ongoing delivery of our Investment Products and new services.

The Compliance team is part of the 2LOD and report to the Group Risk & Compliance Officer, who has responsibility and oversight of the Product Governance, Risk & Compliance functions within TriplePoint.  

The candidate will have at least 7 years relevant compliance experience within the investment management sector, and have a track record of working across a number of regulatory products, asset classes  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), retail financial promotion restrictions and the associated AIFMD and MiFID regulations.

Key Responsibilities

  • Provide regulatory advice at the early stage of initiatives taking into consideration products and services, target markets, distribution strategy that support TP’s growth objectives.
  • Support the review of associated compliance policies and procedures and monitoring programmes for our products
  • Timely and accurate reporting and escalation of issues to the Director, Regulatory Compliance or Senior Management
  • Support the ongoing assessment of the regulatory permissions, ensuring that they align to the requirements for the delivery of existing and new products and services.
  • Monitor regulatory developments and assisting the business in the implementation of regulatory changes
  • Support the Compliance function with the embedding of the Groups Compliance framework providing operational insights on its effectiveness.
  • Assisting the Compliance Officer in the preparation of regular compliance officer reporting g. Annual Compliance Officers Report.
  • Work collaboratively with colleagues to embed a strong compliance across all business units across the Group

Knowledge and Experience

  • The candidate should have a good understanding of the retail financial services and products and retail financial promotion, experience in supporting the design and development of products and services including private fund structures.
  • The candidate should be familiar with alternative asset classes and have a solid knowledge of  regulations i.e. AIFMD, MiFID, FCA Handbook.
  • The candidate will have good organisational and communication skills.
  • Attention to detail and accuracy are essential for this role.

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
  • Team player with 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

Triple Point offers a wealth of benefits including a contributory pension, hybrid/flexible working and ongoing learning and development opportunities. Check out our comprehensive list of benefits HERE. 

Apply today for further information!

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.

Our aim is to create a welcoming and diverse work environment where people from all walks of life feel valued and supported. We actively encourage individuals from various backgrounds to apply for job vacancies and become part of our team. 

STRICTLY NO AGENCIES

Org chart

This job is not in the org chart

Teams

This job is not in any teams

Offices

Related jobs