ABOUT GQG PARTNERS
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 $155 billion in client assets as of June 30, 2024 and employs approximately 200 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.
ABOUT THE POSITION
The Compliance Officer is responsible for working with the Senior Marketing Compliance Officer to review marketing material content, including responses to requests for proposals/information, pitch books, social media, website, and assist in 1940 Act fund 15c responses, to ensure compliance with regulatory requirements imposed by the SEC, FINRA and certain non-US regulators.
Salary Range: $125,000-$150,000
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
- A major in business/finance, economics or English preferred or equivalent work experience (3+ years’ experience in reviewing marketing material for an investment adviser or broker/dealer).
- Experience with managing a marketing material compliance review and approval process end-to-end.
- Experience reviewing RFPs.
- Experience with reviewing marketing pitch books and various types of marketing collateral, including social media.
- Sound understanding and application of SEC and/or FINRA requirements related to sales literature and advertising.
- Demonstrated understanding of Rule 15c of the 1940 Act is a plus.
- Experience with adherence to various privacy regulations is a plus.
- Experience with private fund marketing material is a plus.
- Understanding of performance reporting standards.
- Honesty and integrity.
- Strong organizational and time management skills to meet deliverable dates.
- Effective verbal, written and interpersonal communication skills.
- Ability to work in a team environment and independently.
- Strong proficiency level with MS Word, Excel, PowerPoint, and Adobe.
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.
Please refer to our Applicant Privacy Notice for important privacy disclosures.
