Senior Compliance Officer

3 months ago

London, United Kingdom GAM Investments Full time

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:
Compliance

Department:
Compliance - UK

Purpose

This is a key role in the Regulatory Advice & Development Group within Compliance as this role focusses on providing regulatory guidance and support to GAM’s Marketing, Sales & Distribution Teams. This is a senior technical SME role reporting directly to the Head of the Regulatory Advice & Development Group. 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 and 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 in order to support the GAM Group.

Main Duties & Responsibilities- Provide specialist knowledge for MiFID and other global regualtory 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- 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 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

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 mínimal 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 MLRO and Global Compliance COO

Contract:
Fixed Term (Fixed Term)

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