Brooklands Fund Management Limited
Head of Compliance
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
Head of Compliance – Brooklands Fund Management Limited
Company Overview
Brooklands Fund Management Limited (Brooklands) is an FCA-authorised and regulated investment manager (AIFM) and SEC-registered investment adviser (RIA), established since 2016. We manage funds and client accounts across diverse alternative investment strategies while providing regulatory hosting and consultancy services through a compliant infrastructure.
As a Host AIFM, Brooklands acts as the Regulatory Principal for Appointed Representatives (ARs), offering a compliance framework to independent investment managers. Additional services include compliance consultancy, outsourced COO, finance, and legal support.
The Brooklands Compliance Team oversees regulatory adherence (FCA/SEC), governs AR relationships, and delivers advisory services to third-party regulated firms.
Role Summary
The Head of Compliance will centralise the firm’s compliance function under the Chief Compliance Officer (CCO), split across:
- Internal compliance framework enhancement—governance, policies, and regulatory alignment
- Client-centric compliance consultancy—overseeing ARs and external clients
The role spans revisions to FCA regulatory regimes, consulting across US, Europe, and Asia, and acts as the primary regulatory liaison for Brooklands, ARs, and compliance clients.
Key Responsibilities
Compliance Consultancy Services
- Regulatory applications: Lead and support FCA/SEC/EU authorisation applications for clients.
- Custom compliance programmes: Design, implement, and refine monitoring for client-specific business models.
- Audit & reporting: Conduct compliance reviews and major stakeholder reports.
- Technical guidance: Deliver day-to-day compliance advice to client teams (COOs, senior management).
- Regulatory interactions: Assist with thematic reviews, FCA/SEC supervisory meetings, and ad hoc requests.
- Remediation support: Conduct gap analyses and fix compliance deficiencies.
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
FCA Regulatory Oversight
- Framework development: Contribute to Brooklands’ compliance policies, procedures, and risk frameworks.
- Core compliance governance: Maintain registers (e.g., conflicts of interest, Breach/Incident Logs, PAD registers).
- Specialist advisory: Deep expertise in AIFMD/UK AIFM, MiFID conduct, SMCR, MAR, financial promotions, AML/CTF, and best execution.
- Regulatory engagements: Support CCO in FCA/SEC communications and submissions.
- Data compliance: Prepare RegData, AIFMD Annex IV dossiers, and US filings (Form ADV, Form PF, etc.).
Brooklands’ Internal Compliance
- Internal advice: Providing actionable guidance to ARs, operations, finance, and senior leadership.
- Compliance Monitoring Programme (CMP): Develop and execute CMP practices across Brooklands.
- AML oversight: Migrate KYC checks, financial crime frameworks, and escalations.
- Compliance reporting: Governance data and board-level summaries.
- Training: Deliver compliance education and resources.
Fund and Investment Compliance
- Fund monitoring: Track investment restrictions, mandate adherence, risk limits, and conduct risk (e.g., trade surveillance, market abuse).
- Documentation: Support fund launches, disclosures, cross-border marketing, and investor laying-on filings.
- Strategies: Enhance fund-level compliance frameworks.
Get help with your application
Your very own career expert that helps elevate your application to the next level.
Firm Governance & SMCR
- SMCR compliance: Ensure alignment with Conduct Rules, governance frameworks, and committee reporting.
- Board support: Draft governance documents, track compliance actions, and foster a compliance culture at Brooklands/with ARs.
Role Requirements
Experience
5+ years in compliance within an FCA-regulated firm or compliance consultancy, including:
- FCA Handbook expertise
- Compliance monitoring, policy formulation, and regulatory advisory
- Regulatory engagements (FCA/SEC/etc.)
- Preferred: Appointed Representative oversight, multi-client environments, or SEC-regulated advisor experience
Qualifications
- Degree in Law, Finance, Economics, Business, or related.
- Desirable: CISI, ICA, CFA, or ACAMS membership (preferred but not mandatory).
Skills & Competencies
- Regulatory depth: Mastery of the FCA Handbook and cross-jurisdictional frameworks.
- Communication & documentation: Clear drafting and structured reporting skills.
- Analytical rigor: Precision with risk assessments, compliance audit trails.
- Operational efficiency: Thriving in high-stakes, multi-client environments.
- Business pragmatism: Balancing risk management and commercial objectives.
- Ethical mindset: High integrity, accountability, and judging under pressure.
Proactive leadership required—this role embeds compliance as both a safeguard and a strategic asset.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills
Location