Head Regulatory Compliance & Administration

 

Description:

This is a part time / full-time hybrid role for a Regulatory Compliance Manager, located in London with work from home flexibility. The Regulatory Compliance Manager will be responsible for ensuring that the company adheres to regulatory requirements, developing compliance strategies, conducting risk assessments, and maintaining up-to-date documentation. The role involves regular analysis of regulatory changes and their impact on business operations.

 

We are seeking an experienced Compliance and Administration individual with a proactive, solutions-oriented mindset. You will combine strong regulatory knowledge with excellent organisational and interpersonal skills. Ideally, you will have:

 

- Demonstrable experience in compliance and administration within financial services.

- Knowledge of the FCA regulatory framework, including requirements around authorised representatives and alternative investment fund managers (AIFMs).

- Experience working with both MiFID-related products and alternative investment strategies.

- Strong project management skills and the ability to take ownership of key initiatives.

- Excellent written and verbal communication skills, with the ability to engage stakeholders across all levels.

- A proven ability to source client business and maintain relationships through an established professional network in the UK and internationally.

- A high degree of initiative, problem-solving ability, and attention to detail.

- A degree and/or relevant industry qualifications (e.g. CISI, ICA, CFA).

 

You will play a central role in ensuring Boston and Alexander LLP and BAFL.io remain fully compliant with FCA requirements while supporting the effective running of authorised representative and fund management operations.

 

Your responsibilities will include:

 

- Supervision of Authorised Representatives

• Oversee and monitor the activities of appointed representatives to ensure compliance with FCA requirements.

• Develop and implement supervision frameworks, reporting mechanisms, and monitoring procedures.

• Act as the primary point of contact for authorised representatives on compliance and regulatory issues.

 

- Alternative Investment Fund Management

• Support the operation of BAFL.io as an alternative investment fund manager regulated by the FCA.

• Oversee compliance policies and procedures relating to AIFMD and other applicable FCA rules.

• Monitor fund administration, investor onboarding (AML/KYC), and risk management processes.

• Ensure compliance with capital, conduct, and reporting obligations.

 

- Compliance Oversight and Reporting

• Develop and maintain the firm’s Compliance Monitoring Programme.

• Carry out regular risk assessments and internal compliance reviews.

• Report on compliance matters to senior management and contribute to board-level governance.

• Liaise with the FCA and other regulatory bodies as necessary.

 

- Administration and Governance

• Maintain accurate records and compliance documentation.

• Oversee monitoring of outsourced service providers.

• Assist in developing and embedding firm-wide governance, culture, and ethical standards.

• Provide training to staff on compliance, conduct, and financial crime prevention.

 

- Business Development and Client Growth

• Develop and leverage your network of industry contacts to attract new authorised representative clients and fund management mandates.

• Support senior management in business development initiatives, including client pitches and relationship management.

• Act as a professional ambassador for Boston and Alexander LLP and BAFL.io, representing the firm in both the UK and international markets.