Compliance Analyst

3 weeks ago

London Area, United Kingdom Brooklands Fund Management Limited Full time

Company Description

Brooklands Fund Management Limited is a boutique financial services company in London, UK. The company empowers portfolio managers to launch independent funds under Brooklands umbrella. It provides regulatory authorisation, compliance support, operational infrastructure, and other supporting services. Brooklands is authorised and regulated by the Financial Conduct Authority as an AIFM with MiFID top-up permissions and registered with the US Securities and Exchange Commission as an Investment Adviser and Large Trader.

Role Description

This is a full-time on-site role for a Compliance Analyst at Brooklands Fund Management Limited located in the London. The Compliance Analyst will be responsible for regulatory compliance, analytical tasks, communication within the Brooklands team, Brooklands clients and the regulators. The successful individual will join an existing team of 13 across compliance, operations and finance reporting directly to the Head of Appointed Representatives, the Compliance and senior management. 

While at least one year's prior experience within regulatory compliance (either at an FCA regulated firm or a regulatory compliance consultant) is required, comprehensive training is provided to any new joiner. The expectation is to progress towards becoming a Compliance Associate. This role should not be seen as a route towards a training contract.

Responsibilities

The ongoing responsibilities of the successful applicant will comprise of:

  • Overseeing the activities of Appointed Representatives operating on the Brooklands platform
  • Holding monthly calls with Appointed Representatives
  • Identifying key issues and risks with the Appointed Representatives
  • Taking written minutes of meetings and calls with Appointed Representative
  • Implementing the Compliance Monitoring Program for each Appointed Representative
  • Undertaking background checks and performing due diligence on key individuals
  • Reviewing websites and social media as part of ongoing due diligence processes
  • Preparing Risk Assessments and presenting these to Senior Management on a weekly basis
  • Preparing and delivering Compliance Training
  • Collecting documents and preparing annual review reports for Appointed Representatives and Investment Vehicles

The successful applicant will also be expected (ad hoc):

  • Monitoring the compliance inbox and responding to client queries
  • Review and approve Financial Promotions
  • Draft policies, procedures and legal contracts
  • Designing and implementing procedures for new FCA rules and guidance
  • Keep up-to-date with regulatory updates and draft briefing notes

Key Skills & Attributes

  • Required: 1+ years experience working within regulatory compliance (either at an FCA regulated firm or a regulatory compliance consultant)
  • Required: Bachelor's degree in law, finance, business, or related field
  • Strong oral and written Communication skills
  • Attention to detail and problem-solving abilities
  • Highly organised and able to balance multiple tasks effectively
  • Reliable working autonomously and within a team

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