GQG Partners
Compliance Officer, Marketing Review
GQG Partners, Seattle, Washington, us, 98127
GQG Partners is an investment boutique which is a wholly owned subsidiary of a majority employee-owned company listed on the Australian Securities Exchange (ASX: GQG). The firm manages global and emerging market equities for institutions, advisors, and individuals worldwide. The company is headquartered in Ft. Lauderdale FL, with offices in New York, Seattle, London, and Sydney. GQG Partners manages more than US $120 billion in client assets as of December 31, 2023 and employs approximately 190 associates worldwide.GQG is passionate about investing and strives for the highest levels of excellence in a competitive industry. It is our responsibility to help investors secure their financial future and we are honored that our clients entrust us with their financial capital. We endeavor to create a business that is closely aligned with our clients’ financial interests. And we strive for success at all levels of our organization through a commitment to independent thinking, continual growth, cultural integrity, and a deep knowledge of the markets.KEY RESPONSIBILITIES
Understand GQG’s business processes, investment products, and regulatory obligations and apply this to material review consistently.Partner with and provide guidance to the business so materials are appropriate for the audience and comply with regulatory requirements.Review, comment, and approve materials in a timely manner.Coordinate and collaborate with key stakeholders including Client Services, Marketing, Sales, and Investments.Work with compliance staff at third parties that review materials.Maintain policies and procedures regarding marketing material content and review.Independently research issues and communicate findings with other internal groups.QUALIFICATIONS
Major in business/finance, economics or English preferred or equivalent work experience3+ years of experience in compliance or operational risk at an investment adviserUnderstanding of Rule 204A-1 under the Investment Advisers Act and Rule 17j-1 under the Investment Company ActStrong proficiency level with MS Word, Excel, PowerPoint, and AdobeStrong organizational and time management skillsEffective verbal, written, and interpersonal communication skillsAbility to collaborate and work independentlyHonesty and integrityGQG 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.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.
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Understand GQG’s business processes, investment products, and regulatory obligations and apply this to material review consistently.Partner with and provide guidance to the business so materials are appropriate for the audience and comply with regulatory requirements.Review, comment, and approve materials in a timely manner.Coordinate and collaborate with key stakeholders including Client Services, Marketing, Sales, and Investments.Work with compliance staff at third parties that review materials.Maintain policies and procedures regarding marketing material content and review.Independently research issues and communicate findings with other internal groups.QUALIFICATIONS
Major in business/finance, economics or English preferred or equivalent work experience3+ years of experience in compliance or operational risk at an investment adviserUnderstanding of Rule 204A-1 under the Investment Advisers Act and Rule 17j-1 under the Investment Company ActStrong proficiency level with MS Word, Excel, PowerPoint, and AdobeStrong organizational and time management skillsEffective verbal, written, and interpersonal communication skillsAbility to collaborate and work independentlyHonesty and integrityGQG 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.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.
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