Brooklands Fund Management Limited
Compliance Analyst
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Company Overview
Brooklands is a boutique fund management company offering full scope of operational solutions to investment professionals including regulatory compliance, regulatory authorisation, operations and finance support. Our clients, amongst others, include hedge funds, fundraisers, venture capital firms, and placement agents.
Job Summary
The Compliance Analyst will be responsible for the day-to-day compliance processes for our clients as well as for Brooklands. The successful individual will join an existing team of 13 across compliance, operations and finance reporting directly to the Head of Appointed Representatives and the Compliance Officer. This is an excellent opportunity for someone who is looking to develop their skills further within a hardworking, entrepreneurial and supportive environment. They will receive exposure to a wide range of financial service providers and the regulatory issues they must tackle on an ongoing and day-to-day basis.
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Key Responsibilities
The successful candidate will have responsibility in the following areas:
- Overseeing the activities of Appointed Representatives operating on the Brooklands platform
- Holding monthly calls with Appointed Representatives and taking written minutes
- Assisting with the drafting of policies, procedures and legal contracts
- Reviewing and approving Financial Promotions
- Managing and updating the Compliance portal
- Implementing the Compliance Monitoring Programme
- Reporting to the Compliance Committee
- Drafting Regulatory Risk Assessments
- Preparing and delivering Compliance Training
- Monitoring the compliance inbox and responding to client queries
- Knowledge of regulated activities overseen by the FCA and their appropriate licensing
- Understanding of the FCA handbook and the implementation of new rules and guidance
- Assisting the Compliance Officer with adhoc items
- Keep up-to-date with regulatory updates and draft briefing notes
- Maintaining the compliance register/calendar for our clients
- Automating and improving existing processes
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Key Role Requirements
Skills
- University degree essential (Degree in Law is desirable)
- Regulatory knowledge
- Strong Microsoft Office skills
Desired Experience
- Up to 2 years’ experience in a similar role
- Experience in regulatory compliance, AIFMD and MIFID
- Experience in a compliance team at a regulated firm or at a compliance consultant
Personal Attributes
- Excellent attention to detail and diligence
- Hard working and conscientious
- Highly organized and able to balance multiple tasks effectively
- Accountable, responsible and can work both autonomously and within a team
- Excellent communicator on all relationship levels.
Note:
Due to the high number of applicants, unfortunately we are only able to contact successful candidates.
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