Senior Associate, Compliance

Senior Associate, Compliance
Position Overview:

We are seeking candidates for a client-facing associate on our Compliance team. This is a role in Austin, Philadelphia, and/or New York.

Overview of GLG Compliance:

Compliance is foundational to GLG’s business and our culture. Our unparalleled compliance systems and technologies provide a structured, auditable, and transparent way for our clients to receive actionable insights from GLG experts in a manner that is consistent with the highest professional standards and best practices.

GLG clients value our experts for their knowledge and insights, but they also recognize and respect that there are certain constraints on the information our experts can share. GLG’s Compliance team via our systems and compliance framework help protect our clients by mitigating the risk of inadvertently soliciting or receiving confidential information from our experts and controlling the type of client information that is shared with experts.

GLG’s Compliance team comprises more than 70 professionals around the globe. It is led by our General Counsel, Laurence Herman, who has nearly two decades of industry experience, and Jeff Cohan, our Chief Compliance Officer, who has 18 years of experience at the SEC prior to joining GLG.

Overview of the Role:

The Associate will be part of our Americas compliance team and will work closely with colleagues in the United States and across the globe. This individual will develop subject matter expertise on GLG and client compliance issues, and will be a first point of contact in responding to GLG professionals who have questions on servicing clients in a way that appropriately mitigates compliance risk. The individual will help interpret internal policies and guidelines, determine required actions and make recommendations based on firm guidance and GLG’s compliance framework.

Responsibilities will include being responsive to client needs on an immediate basis, answering questions from client- and expert-facing professionals and other internal stakeholders, performing in-depth reviews of various tasks and projects, analyzing questions and arriving at logical and factual conclusions.

Key Responsibilities:

- Engaging thoughtfully and confidently with clients, experts and internal stakeholders.

- Understanding and enforcing key requirements of firm and client legal and compliance rules and policies;

- Reviewing and evaluating the completeness, accuracy and appropriateness of proposed projects or requests and proposing solutions to issues or questions that arise;

- Managing personal tasks and activities in a timely manner with complete ownership of responsibilities;

- Providing periodic updates to domestic and international Compliance teams on various compliance related projects; and

- Responding to client requests or questions (e.g., providing clients with custom reports reflecting their work with GLG).

Candidates with either legal/compliance, financial and/or professional client-facing backgrounds will be preferred, but this is not a requirement for consideration.

The ideal candidate will have the following attributes:

· Graduate/post-graduate degree with 1-3 years of work experience;

· Ability to multi-task and prioritize effectively, while ensuring a high level of accuracy and attention to detail;

· Proficient in MS Office specifically: Outlook, Word, Excel;

· Must be well organized and detail oriented;

· Must be reliable and consistent with a high level of professionalism;

· Ability to use good judgment and maintain confidentiality as needed;

· Proactive, self-motivated and excellent interpersonal skills; and

· Strong analytical and writing skills.

· Ability to work effectively and independently from a remote location, and also willingness to work from the office some of the time.