About

Job description Company Overview Brooklands is a boutique fund management company (ManCo) offering full scope investment management operational solutions to its clients including regulatory compliance, regulatory authorisation, compliance, investment management, operations, legal and finance support. Our clients, amongst others, include hedge funds, fundraisers, venture capital firms, corporate debt advisors, 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. 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 · Drafting Regulatory Risk Assessments on the monitoring calls · Reporting to the Compliance Committee · Carry out PAD request reviews and provide approvals · 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 · Preparing and delivering Compliance Training · Monitoring the compliance inbox an