Senior Compliance Officer

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:

Department:

Main Duties & Responsibilities

Responsible for corporate and regulatory compliance, policies and procedures for GAM in Luxembourg in conjunction with colleagues in other jurisdictions and taking into account GAM group policy and applicable legislation and regulations.

• Carry out the compliance monitoring program controls for GAM Luxembourg, including working together with GAM Group stakeholders to monitor the compliance recommendations ensuring that these are actioned on a timely basis.
• You will be responsible for monitoring of local developments and regulations, assessing their potential impact on GAM Luxembourg and existing policies and procedures.
• Maintain all conduct and compliance registers for GAM Luxembourg (Complaints, CoI, Compliance Training, Conduct, etc).
• Monitor timely updating and review of policies and procedures.
• Ensure that compliance related queries and respective ad-hoc projects from various sources are dealt with and provide technical assistance to staff where required.
• Prepare and ensure that all necessary internal and external compliance reports and filings are completed correctly and in a timely manner.
• Assist in marketing oversight and assessments as well as marketing documentation reviews.
• Completion of ad-hoc projects and dealing with a wide range of queries from various sources.
• Support the transition of GAM Luxembourg from a Management Company to an Investment Firm, including the creation of a new MiFID governance framework

Qualifications

• 5+ years' experience in compliance, conduct risk or regulatory role within the asset management industry.
• Strong knowledge of Luxembourg financial services regulation and compliance frameworks.
• Good understanding of MiFID II requirements; knowledge of UCITS and AIFMD would be advantageous.
• Experience engaging with senior stakeholders and managing regulatory change initiatives.

• Written and spoken English, any additional language is considered as an asset.

Personal Attributes

• Ability to work in partnership with teams and departments across locations to achieve common goals.
• Analytical mind-set, a focus on execution and a structured approach with attention to detail.
• Team player, collaborator and can demonstrate a track record of positive stakeholder engagement.
• Adapt quickly to change, cope with a fast-paced environment and willing to go the extra mile.
• Strong integrity and work ethics.
• Strong listening, communicating and influencing skills.

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.

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Reporting to:

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