SENIOR COMPLIANCE OFFICER
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.
We seek a Senior Compliance Officer to provide support on a variety of compliance matters for an asset manager with global reach, but will primarily be focused on investment guideline coding and monitoring. This role requires strong analytic and issue spotting capabilities, creativity, communication skills and attention to detail.
GQG is a dynamic firm that rewards hard work, enthusiasm and skill. We pride ourselves on a culture of growth and mastery of our craft. The preferred location of the position is GQG’s Seattle office.
Manager/Supervisor: Chief Compliance Officer
Number of Direct Reports: None
Part Time/Full Time: Full Time
Location: Seattle, WA Preferred
The Senior Compliance Officer will be a key part of GQG’s compliance department; reporting to the Chief Compliance Officer, while working closely with the Global Chief Compliance Officer. The responsibilities and primary focus on:
- Leading all aspects of new account onboarding, from the review of investment guidelines to the coding of investment rules into the firm’s compliance module
- Day to day guideline monitoring, including the assistance with the approval of pre trade alerts
- Generating and interpreting the firm’s post trade compliance report
In addition to the above, the candidate will assist with:
- Day-to-day compliance testing
- Risk assessments
- Assist with aspects with the implementation of the non-US compliance program
The Senior Compliance Officer must independently research issues, collaborate with other groups, and communicate internally with employees across the company.
- Honesty and integrity
- At least 7 years of Investment Management Compliance experience primarily focused on guideline coding and monitoring
- Sound understanding of equity investment process, strategies and investments
- Investment Advisers Act and Investment Company Act experience
- Strong analytical skills
- Solid 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
- Deep proficiency level with MS Word, Excel, PowerPoint and Adobe
If interested, please send your résumé and a cover letter detailing your 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.