Senior Compliance Officer

6w1 month ago

GAM Investments

London, GB · Full-time · £90,000 – £130,000

About this role

GAM is one of the world’s leading independent asset managers, providing differentiated active investment solutions for institutions, financial intermediaries and private investors. This key Compliance role focuses on regulatory guidance and support to Marketing, Sales & Distribution Teams. It assists ongoing projects with regulatory challenge while supporting statutory obligations like filings.

Day-to-day involves acting as principal contact for Product Development, Sales, Marketing and Distribution, offering MiFID specialist knowledge on Product Governance and Target Market. Provide SM&CR guidance to Senior Management Functions and Certified Persons. Oversee marketing approvals and support RFP Team propositions.

Employees thrive in an attractive environment rooted in teamwork, integrity, entrepreneurial flair and professional excellence. The company maintains an open culture of a small firm, avoiding bureaucracy with flexible, accessible, hands-on working style. This fosters loyalty among talented minds from diverse backgrounds.

Longer-term, develop global approaches for marketing approvals, compliance in distribution initiatives and regulatory development across GAM Group. Drive implementation of global Regulatory Policies for rapid deployment. Contribute to UK and Group regulatory updates, supporting new product and market initiatives.

Requirements

Extensive understanding of asset management with 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 Sales, Marketing and Distribution
Up to date knowledge of MiFID II expectations in Sales, Marketing and Distribution areas
Proven track record in compliance advisory for asset management sales and marketing
Familiarity with SM&CR requirements for Senior Management Functions and Certified Persons
Knowledge of global regulatory filings in FCA, SEC and NFA systems

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 individuals holding Senior Management Functions or acting as Certified Persons within Sales, Marketing and Distribution under SM&CR
Contribute to regulatory development for the UK business and wider Group, keeping UK Business Heads up to date
Provide compliance support to new product and new market initiatives
Focus on providing regulatory guidance and support to the Request For Proposition (RFP) Team
Oversee the marketing approvals process where required
Support filings and updates in the FCA, SEC and NFA systems to meet GAM regulatory responsibilities