CORE COMPLIANCE ANALYST
GQG Partners is a rapidly growing boutique investment management firm focused on global and emerging markets equities. Our primary responsibility is to help our clients secure their financial future and we endeavor to create a business that is deeply aligned with our clients’ financial interests. We strive for excellence at all levels of our organization through a commitment to independent thinking, continual growth, cultural integrity and a deep knowledge of the markets.
The Core Compliance Analyst will be a key support role within the Compliance team and will be responsible to manage core compliance activities of the firm. This successful candidate will have sound understanding of the application of regulatory obligations. The individual in this role will be expected to partner with the business and use sound judgment.
Manager/Supervisor: Chief Compliance Officer
Number of Direct Reports: None
Part Time/Full Time: Full Time
Location: Fort Lauderdale, FL; New York, NY; or Seattle, WA
The Core Compliance Analyst is responsible to assist the CCO with managing the firm’s core compliance activities, including:
- Maintaining the firm’s Compliance Manual and Code of Ethics
- Coordinating employee onboarding, reporting and affirmation processes
- Developing, conducting and coordinating Compliance training
- Conducting risk self-assessments for the firm and related testing
- Preparing risk status / exception reports
- Managing written electronic communication platform and monitoring messages
- Partnering with and providing guidance to the business to ensure activities comply with regulatory requirements.
- Reviewing marketing material and sales literature, as needed
- Conducting other assignments, as requested.
A Compliance Analyst must independently research issues, collaborate with other groups, and communicate internally with team members, client services, marketing, investments, operations, and the Legal department.
- A major in business/finance, economics or English preferred or equivalent work experience (5+ years’ experience in compliance, operational risk or audit at an investment adviser or broker/dealer)
- Honesty and integrity
- Experience with core compliance matters such as policies, procedures, employee on-boarding, records maintenance and management reporting
- Strong organizational and time management skills to meet deadlines
- Effective verbal, written and interpersonal communication skills
- Ability to work both in a team environment and independently
- Strong proficiency level with MS Word, Excel, PowerPoint and Adobe.
If interested, please send your résumé and a cover letter detailing your qualifications and interest in the position to email@example.com.
GQG Partners LLC is an Equal Opportunity Employer and will not engage in unlawful discrimination on any basis prohibited by local, state or federal law. This policy applies to all aspects of employment, including recruitment, placement, promotion, transfer, demotion, compensation, benefits, social and recreational activities and termination.
For more information about equal employment opportunity, please click here for “EEO Is the Law.” GQG Partners LLC may participate in E-Verify, please view the following links for details in English and Spanish. For information regarding your Right to Work, click here for details in English and Spanish.