Associate, Senior Compliance Manager

Location: 

New York, US

Job Function:  Legal & Compliance Department
Job Type:  Permanent
Req ID:  15085

Legal and Compliance Department


The Legal and Compliance Department (LCD) manages the legal, regulatory and compliance risks for GIC, and partners with the business to ensure that legal, regulatory and compliance issues and risks are identified, assessed, and dealt with effectively and in a timely and efficient manner.

 

We are looking for a highly motivated, high caliber candidate to join our Compliance Division in GIC’s New York Office as an Associate.

 

Key Responsibilities

  • Advise and work with stakeholders to manage a broad spectrum of regulatory obligations and restrictions that apply to GIC’s investments/trading and operational activities as well as new business initiatives/product approvals, with a focus on the Americas region and in the public and private markets. 

  • Monitor the regulatory and enforcement landscape and identify the applicable regulatory requirements in the Americas region, particularly the U.S., and update management and stakeholders of the corresponding impact of the regulatory requirements on GIC’s investment/trading and operational activities. 

  • Engage external legal counsels to clarify the applicable regulatory requirements and restrictions on GIC’s investment/trading and operational activities where necessary. 

  • Support the Compliance Division in formulating and performing a periodic review of key Compliance policies and controls to ensure that they remain robust and in line with regulatory standards and industry/peer best practices.  These policies are in GIC’s Compliance Manual and Code of Ethics, including policies on GIC’s Information Barrier/Chinese Wall Policy, Financial Crimes Compliance Framework, Conflicts of Interest Policy, Gifts and Entertainment Policy, and Policy on External Personal Activities and Personal Investments. 

  • Perform controls and provide advisory support to ensure adherence by employees to GIC’s Compliance policies.

  • Conduct Compliance training on an ongoing basis to educate new hires and existing staff on the relevant regulatory requirements and compliance policies and processes.  

  • Collaborate with business units and other risk and control departments to address compliance and conduct issues, enforce policy violations and support management to inculcate a culture of compliance in GIC’s offices in the Americas region. 

 

Requirements

  • A bachelor’s degree with good academic results from a good university, in Law, Accounting, Business or related discipline. 

  • At least 2 to 4 years of relevant Compliance experience in financial services.  Candidates from investment management or private equity firms, hedge funds and banks are preferred. 

  • Good working knowledge of the investment management industry and financial products.

  • Strong analytical skills and ability to demonstrate and articulate a clear thought process in analyzing regulatory and compliance issues.  Diligent with attention to details.

  • Ability to perform processes and controls using Compliance systems.

  • A proactive, confident and highly motivated person who is able to work both independently and as a member of the team and with an ability to multitask. 

  • Effective communication skills with clear and succinct written and oral communication and interpersonal skills.

 

 

Our compensation philosophy reflects several principles. We strive to provide a competitive compensation package to attract and retain talent globally. We pay for performance, and reward sustainable results.

 

Total pay for this position comprises base pay and bonus. The anticipated base salary range for this role is between $80,000 and $115,000.

 

Bonuses, which may form a meaningful proportion of the total pay package, are determined based on company and individual performance.

Our PRIME Values

Our PRIME Values

GIC is a values driven organization. GIC’s PRIME Values act as our compass, enabling us to fulfil our fundamental purpose and objectives. It is the foundational bedrock which governs our behaviors, our decision making, and our focus. It informs both our long-term strategy as a firm, and the way we relate to our Client, business partners and employees. PRIME stands for Prudence, Respect, Integrity, Merit and Excellence.