Compliance Analyst

The Function & Team

The Compliance team forms part of Triple Point’s second line of defence, ensuring the business operates within regulatory frameworks and maintains the highest ethical standards. They work across all areas to provide advice, oversight and assurance, supporting a culture of integrity and responsible growth.

The Role

The Compliance Analyst is a junior role within the Group Compliance team, reporting to the Director – Regulatory Compliance.

The role supports the day-to-day operation of Triple Point’s Compliance Framework, with a focus on financial promotions, compliance monitoring, training coordination and regulatory support. The team operates as part of the second line of defence and reports to the Group Risk & Compliance Officer.

This role is ideal for someone early in their compliance career who is curious, detail-focused and motivated to build strong regulatory foundations while contributing to a culture of integrity, ownership and good customer outcomes.

Key Responsibilities

Financial Promotions & Monitoring

• Support the review of financial promotions and marketing materials, checking disclosures, risk warnings and records against agreed guidance.

• Escalate issues clearly and promptly where required.

• Assist with compliance monitoring activity, including data gathering, basic testing and drafting working papers.

• Track remediation actions and follow up with stakeholders to support timely resolution.

Training, Reporting & BAU Support

• Coordinate compliance training activity, including inductions for new joiners.

• Prepare training and compliance MI, reports and dashboards with a high level of accuracy.

• Maintain compliance registers (e.g. SMCR, breaches and incidents) and support investigations and closures.

• Provide administrative and research support across areas such as Consumer Duty, SMCR, CCI and data protection.

• Monitor regulatory developments and help summarise key impacts for the business.

• Support management of the compliance inbox, responding to routine queries and assisting with more complex issues.

Culture & Collaboration

• Work collaboratively across the business to embed a strong, risk-aware and compliant culture.

• Role-model Triple Point’s values, acting with integrity, professionalism and accountability.

• Support positive customer outcomes through thoughtful, well-controlled compliance activity.

Knowledge & Experience

Essential

• Some experience in a compliance, risk, legal or controls-focused role in financial services or a strong academic background with clear motivation to pursue a career in regulatory compliance.

• Basic understanding of compliance within a regulated firm and awareness of the FCA’s objectives.

• Strong organisational skills, attention to detail and ability to manage competing priorities.

Desirable

• Exposure to FCA-regulated investment products.

• Familiarity with core regulatory frameworks (or willingness to learn quickly).

• Experience using compliance, training or workflow systems.

Skills & Competencies

• Curious, proactive and keen to learn.

• Analytical, organised and highly accurate.

• Clear and professional communicator.

• Collaborative team player who takes ownership and follows through.

• Demonstrates integrity, sound judgement and commitment to high standards.

Qualifications

• Degree (or equivalent) preferred, ideally in a relevant discipline.

• Willingness to work towards a relevant professional qualification (e.g. CISI or ICA), supported by the firm where applicable.

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 ChatGPT Enterprise and is encouraged to explore how AI and automation can enhance their work.

We see technology as a co-pilot, helping us improve efficiency and insight while keeping decisions grounded in thoughtful human judgement.