Senior Compliance Officer

GAM Investments; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading independent asset management firm is seeking a Compliance professional to provide regulatory guidance and support to its teams. The role involves collaboration across departments, ensuring compliance with asset management regulations, and contributing to compliance initiatives. Candidates should have a deep understanding of regulatory frameworks and excellent communication skills. The position offers a permanent contract in a supportive environment.

Benefits

Comprehensive benefits

Performance-based compensation

Lifestyle and family benefits

Qualifications

• Extensive understanding of asset management and product knowledge.
• Sound knowledge of asset management regulation including EU regulations.
• Proven track record of working collaboratively across multiple business lines.

Responsibilities

• Act as a centre of excellence for compliance advice and support.
• Provide regulatory guidance for Sales, Marketing and Distribution.
• Assist in driving a global approach in compliance support.

Skills

Understanding of asset management

Knowledge of MiFID II

Proven collaboration skills

Microsoft Word, Excel and PowerPoint proficiency

Change management

Tools

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

AMBITIOUS? BRIGHT? RIGHT?

GAM is one of the world’s leading independent asset managers. We provide differentiated active investment solutions and products for institutions, financial intermediaries and private investors.

Together we share a common set of values rooted in teamwork, integrity, entrepreneurial flair and professional excellence.

Our employees are our most valuable asset. Being able to offer an attractive work environment where talented minds from various backgrounds are keen to work is key to the long-term success of our company. We firmly believe in the importance of maintaining the open culture of a small company, aiming to avoid bureaucracy and encouraging a flexible, accessible and hands-on working style across the Group. In turn, our people reward us with their loyalty.

Function

Legal and Compliance

Department

Compliance - UK Purpose

This is a key role within Compliance as this role focusses on providing regulatory guidance and support to GAM’s Marketing, Sales & Distribution Teams. In the short term there are key projects in progress where this job holder will need to assist the business and project working groups and to provide the necessary challenge from a regulatory perspective. Longer term this role involves developing a global approach for GAM in relation to marketing approvals and compliance participation in marketing / distribution initiatives as well as developing a global approach to regulatory development to support the GAM Group. The role will also be responsible for supporting the wider Compliance team for statutory obligations regarding Regulatory filings, SM&CR filings, Operations and HR Regulatory support.

Main Duties & Responsibilities

• Act as a centre of excellence and principal Compliance contact to provide advisory and regulatory technical support to Product Development, Sales, Marketing and Distribution
• Provide specialist knowledge for MiFID and other global regulatory rules relating to Product Governance and Target Market / Sales considerations
• Provide regulatory guidance to those individuals holding Senior Management Functions or acting as Certified Persons within Sales, Marketing and Distribution following the introduction of SM&CR
• Contribute to regulatory development both for the UK business and the wider Group, taking the lead in keeping UK Business Heads up to date
• Provide compliance support to new product and new market initiatives as required
• Focus on providing regulatory guidance and support to the Request For Proposition (‘RFP’) Team
• Oversee the marketing approvals process where required
• Support and implement global Regulatory Policies in accordance with an approved framework, to achieve rapid development and deployment of new and improved policies.
• Assist in driving forward a global approach in relation to providing compliance support to Product Development, Sales, Marketing and Distribution activities
• Support the filings and updates in the FCA, SEC and NFA systems to support GAM regulatory responsibilities.
• Assist the wider Compliance team in general activities related to Financial Crime, Market Abuse and Conflict of Interest management.

Qualifications & Experience

• Extensive understanding of asset management; good product knowledge including equities, fixed income and derivatives. Good fund knowledge expected.
• Sound knowledge of asset management regulation including EU regulations and the UK FCA Handbook, particularly in the areas of Sales, Marketing and Distribution. Good up to date knowledge of MiFID II expectations required in these areas.
• Proven track record of working collaboratively across multiple business lines with stakeholders and colleagues at all levels and across different jurisdictions
• Computer literate, including Microsoft Word, Excel and PowerPoint.

Personal Attributes

• Strong oral, presentation and written communication skills
• Able to set priorities and deliver on them
• Team player who gets along with others, shares knowledge and supports collective decision making
• Someone who enjoys working in an environment where they can drive change forward
• Ability to work independently with minimal direction in a fast-paced environment but also someone who is willing to be part of a Group function and is able to collaborate with Compliance Officers based overseas
• Willingness to challenge the status quo, propose enhanced processes and motivate colleagues for progress
• Resilience

Benefits

GAM offers a comprehensive range of benefits and performance-based compensation, along with a variety of lifestyle and family benefits to promote well-being in and out of the workplace. These benefits vary according to local market conditions. Please contact the local Human Resources team for further details.

Employing Company/ies: GAM (UK) Limited

Reporting to: UK Head of Compliance & Group Legal and Compliance COO

Contract: Permanent