Contract - Fixed Term

 

GAM is one of the world’s leading independent, pure-play asset managers. We provide differentiated active investment solutions and products for institutions, financial intermediaries and private investors. Our core investment business is complemented by private labeling services, which include fund administration and other support services to third-party institutions. 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.

Trainee (Compliance)

Function:

Compliance

Department                            

UK Compliance

Trainee Programme Overview

The Investment20/20 Trainee Programme at GAM is aimed at both school/college leavers as well as graduates. The purpose is to enable individuals with limited or no exposure to financial services to start their careers in the investment management industry and gain the skills and experience required to progress their careers within the industry.

This Investment20/20 Trainee Scheme at GAM will be for a fixed term of 12 months and the salary will be £20,000 per annum. Trainees will also receive a bonus of £2,000 on starting with GAM to assist with expenses, travel etc. Trainees will also be eligible for a number of Company benefits, in addition to having the opportunity to get involved with the Sports and Social Club activities. Upon successful completion of the Trainee Programme, all Trainees will be eligible to be considered for a discretionary additional payment of up to £1,000.

All Trainees will be part of the wider Investment20/20 community with the opportunity to build relationships with Trainees outside of GAM through both social and professional events. Trainees will receive extensive ‘on the job’ training by being assigned to a specific department for the duration of the 12 month contract. Individuals will be assigned a mentor for the duration of the Programme and will gain exposure to the different teams within the department and have the opportunity to get involved with a variety of tasks and projects.

As well as Investment20/20 centrally organised learning and development opportunities and additional training organised by our in-house Learning & Development Department, Trainees will be given the opportunity to start an industry recognised professional qualification. Individuals will be provided with training and experience to deliver a presentation and gain exposure to public speaking as part of the Trainee Scheme.

Department overview 

The objective and mission of the Compliance Department is to protect GAM and its reputation, its clients and staff by managing Compliance risk and by providing both support and challenge to GAM’s different business areas and staff. Compliance risk is the risk of legal sanctions, reputational loss and material financial loss an organisation faces when it fails to comply with laws and regulations.

This objective is pursued through the development of policies, procedures and controls that are reasonably designed to prevent, detect and correct violations of applicable law in general and of securities laws in particular.

The Compliance Department assists GAM in complying with its regulatory obligations through interpretation of regulations, advising on regulatory issues, providing regulatory training and monitoring business activity.

Main Duties & Responsibilities

  • Assisting the Regulatory Development & Advice Lead and providing support to the department’s activities;

  • Assisting with maintaining the Regulatory Development tracker which aims to record proposed regulations which will impact GAM in the UK – this will involve undertaking independent research and analysing documentation;

  • Developing an understanding of the regulatory framework which GAM operates within;

  • Assisting with the preparation and filing of reports and notifications to regulators;

  • Responsible for maintaining good quality records and ensuring they are kept up to date;

  • Undertaking ad hoc projects for the Compliance Department;

  • Liaison with business areas within GAM as directed in order to answer queries or to provide regulatory advice and guidance;

  • Participating in interactive compliance training sessions;

  • Managing the team’s email inbox and dealing with queries;

  • Participating in weekly compliance team meetings;

Personal Attributes

  • Conscientious and punctual: can be trusted to follow through on commitments, thorough, efficient, organised, dependable, honest;

  • Positive attitude: contributes to a positive and non-judgemental climate;

  • Team player: helps and promotes others; shares information, knowledge and experience;

  • Ability to work independently to a high standard of accuracy and attention to detail;

  • Effective interpersonal skills;

  • Self-motivated and able to work without close supervision; 

  • Good written and verbal communication skills;

  • Numerate;

  • Ability to apply good time management practices in order to achieve objectives during peak work activity periods;

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.

Location:                                           

London

Employing Company/ies:                   

GAM (U.K.) Limited

Reporting to:                                    

Susan Brooksbank, Regulatory Development & Advice Lead

Contract:                                           

Fixed Term Contract

12 Months

Regulated Controlled Function:        

No

 

GAM
Human Resources
8 Finsbury Circus
London
EC2M 7GB

T +44 (0) 20 7493 9990
F +44 (0) 20 7493 0715
www.gam.com