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Compliance Officer, Asset Management - 6 month Fixed Term at GAM Investments

London, England, United Kingdom -

Full Time

Start Date

Immediate

Expiry Date

13 Aug, 25

Salary

0.0

Posted On

14 May, 25

Experience

0 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Microsoft Word, Equities, Asset Management, Product Knowledge, Powerpoint, Excel, Fixed Income, Derivatives

Industry

Marketing/Advertising/Sales

Description

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 Proposal (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 managemen