Description

Company Overview

Brooklands Fund Management Limited ("Brooklands") is an FCA authorised and regulated investment manager (AIFM) and SEC registered investment adviser (RIA) which has operated since 2016. Brooklands acts as investment manager to a range of funds and managed accounts across multiple alternative investment strategies and provides services to a growing client base through its regulatory hosting and consultancy platform.

Brooklands operates as a Host AIFM and acts as a Regulatory Principal to Appointed Representatives (ARs), supporting independent investment managers through its regulatory infrastructure. In addition to its investment management activities, Brooklands provides regulatory hosting, compliance consultancy, outsourced COO, finance and legal services.

The Brooklands Compliance Team is responsible for ensuring compliance with FCA and SEC regulations, oversight of the activities of Appointed Representatives, and governance across Brooklands' investment vehicles and client arrangements. The team also delivers compliance advisory services to third-party regulated firms.

Role Summary

The Head of Compliance will play a central role within the Brooklands Compliance function, supporting the Chief Compliance Officer in managing and enhancing the firm's compliance infrastructure and delivering high-quality compliance advisory services.

The role has a dual focus: (i) supporting and strengthening Brooklands' internal compliance framework, governance processes, and regulatory obligations; and (ii) providing compliance oversight and consultancy services across the Brooklands regulatory hosting platform (ARs) and external compliance consultancy clients.

The successful candidate will operate across primarily operate under the FCA regulatory regimes, contributing to oversight, monitoring, advisory, and regulatory engagement activities. The role offers broad exposure across investment management, regulatory hosting structures, and multi-client compliance consultancy as well as across a range of jurisdictions including the US, Europe and Asia..

Role Responsibilities

Compliance Consultancy Services

1. Supporting and, where appropriate, leading regulatory authorisation applications (FCA, SEC and related bodies) on behalf of clients
2. Designing, implementing, and enhancing compliance monitoring programmes tailored to client business models
3. Conducting periodic compliance reviews and producing structured reports for client senior stakeholders
4. Providing day-to-day technical compliance advice to client Compliance Officers and senior management
5. Supporting clients in regulatory interactions (FCA, SEC and other regulators), including thematic reviews, supervisory engagement and ad hoc requests
6. Assisting with regulatory change implementation, gap analyses, and remediation programmes

FCA Regulatory Oversight

1. Supporting the design, implementation, and ongoing enhancement of Brooklands' compliance frameworks, policies, and procedures
2. Maintaining core compliance documentation, including compliance manuals, risk assessments, breach and incident logs, complaints registers, conflicts of interest and PAD registers
3. Advising on and overseeing key regulatory areas including AIFMD / UK AIFM regime, MiFID conduct requirements, SMCR, MAR, financial promotions, AML / CTF, best execution and conduct risk
4. Supporting the CCO in regulatory interactions with the FCA, SEC and other bodies
5. Assisting with the preparation and submission of regulatory returns, including (as applicable) RegData, AIFMD Annex IV and US submissions including Form ADV, Form PF and related filings

Brooklands Internal Compliance

1. Providing clear, pragmatic compliance advice to the AR team, operations, finance, and senior management
2. Supporting the development and execution of the Compliance Monitoring Programme (CMP)
3. Delivering and supporting compliance training across the organisation
4. Supporting AML oversight, including KYC standards, financial crime frameworks, and escalation processes
5. Contributing to compliance Management Information, governance reporting, and board-level materials

Fund and Investment Compliance

1. Supporting oversight of compliance across funds and managed accounts, including investment restrictions and mandate monitoring, risk limits, best execution, trade surveillance, market abuse monitoring, conflicts of interest and personal account dealing
2. Supporting compliance aspects of fund launches, offering documentation and disclosures, and cross-border marketing considerations
3. Assisting in maintaining and enhancing fund-level compliance monitoring frameworks

Firm Governance and SMCR

1. Supporting adherence to SMCR requirements, including Conduct Rules and governance frameworks
2. Assisting with governance processes, committee materials, and action tracking
3. Promoting a strong and practical compliance culture across Brooklands and its client base

Role Requirements

Experience

1. 5 years + experience in compliance within an FCA-regulated investment firm or compliance consultancy
2. Strong working knowledge of FCA regulatory frameworks and practical implementation of controls
3. Experience supporting compliance monitoring, policy development, and regulatory advisory activities
4. Experience supporting regulatory submissions and interactions with regulators
5. Experience with Appointed Representative oversight, regulatory hosting, or multi-client environments is highly desirable
6. Experience with SEC regulated investment advisors (preferred but not required)

Qualifications

1. Degree in Law, Finance, Economics, Business or related discipline
2. Relevant professional qualifications (e.g. CISI, ICA, CFA, ACAMS) are advantageous but not essential

Skills & Competencies

1. Strong working knowledge of the FCA Handbook and relevant regulatory frameworks
2. Excellent drafting and communication skills, with the ability to produce clear, structured documentation
3. Strong analytical skills with attention to detail and evidencing standards
4. Ability to operate effectively in a fast-paced, multi-client environment
5. Commercially minded with a pragmatic approach to compliance
6. High levels of integrity, professionalism, and accountability
7. Proactive, solutions-oriented mindset with strong judgement