Compliance Manager

The Compliance Department is here to protect our clients, our firm and staff from regulatory issues by fostering compliant and ethical outcomes and seeks to manage and mitigate relevant global compliance risks within the agreed risk appetite. Our aim is to maintain our strong regulatory track record, avoid censure and help preserve Baillie Gifford’s unique culture and reputation as a successful and trustworthy Asset Manager. We look to achieve this through maintaining a robust Compliance framework and continued investment in our compliance resources in terms of people, systems and processes.

This role sits within the International Compliance Team, helping to deliver the compliance framework for multiple jurisdictions. The role is varied and offers the opportunity to work with many stakeholders across the business, in particular supporting colleagues in the client’s department. The role also offers the opportunity to get involved in project work concerning regulatory change or business initiatives that require compliance support. This technical manager role does not have people management responsibilities and will primarily focus on the following regions: Hong Kong, Singapore, South Korea and the wider Asia region.

Responsibilities

• Regulatory Advice: Deliver subject matter expertise through the provision of expert regulatory advice and assistance to stakeholders, including senior management and business leaders, on jurisdictional compliance matters.
• Framework Management: Manage delivery of Baillie Gifford's jurisdictional Compliance frameworks in multiple regions and analyse, monitor and report on associated risks.
• Knowledge Development: Continuously develop and demonstrate specialist knowledge of Baillie Gifford's business activities and corporate structure.
• Project Leadership: Lead jurisdictional regulatory project initiatives, demonstrating expert judgment in identifying solutions and working with the business through to implementation as required. Provide senior compliance representation, analysis, and advice on high-profile jurisdictional business projects, supporting firmwide investment and CD initiatives.
• Horizon Scanning: Conduct/Monitor jurisdictional regulatory developments through the Compliance horizon scanning process. Perform analysis on regulatory development items identified through the process.
• Assurance Reporting: Lead on the completion of scheduled jurisdictional Compliance assurance reporting for Baillie Gifford Board / Group / Committee and Investment Vehicles, demonstrating expert judgment on technical information and detail provided.
• Policy Reviews: Support on technical reviews of annual and ad-hoc reviews of Group and jurisdictional Compliance policies, framework documentation, and process notes.
• Client Queries: Support in monitoring and responding to technical jurisdictional DDQ and RFP requests received in the Compliance Client Queries mailbox. Lead in monitoring the jurisdictional Compliance mailbox and take responsibility for responding to more technical and complex queries.

Knowledge and Experience

• Demonstrable comprehensive experience of working within a compliance function of an investment manager.
• Experience of regulatory change processes/regulatory project work.
• Experience providing advice to client-facing staff concerning marketing queries/permissions.
• Experience providing advice to multiple stakeholders such as distribution, product, investment or legal teams, on complex compliance matters.
• Demonstrable experience translating regulatory developments into clear impact assessments, implementation plans, policies, controls and business guidance.
• Experience designing, maintaining or enhancing jurisdictional compliance frameworks, monitoring programmes and risk assessments.
• Experience preparing high-quality reports and papers for boards, committees, senior management or regulated entities.
• Experience managing complex compliance queries, including due diligence questionnaires, requests for proposals and institutional client enquiries.
• Experience leading projects involving multiple business areas, competing priorities and fixed regulatory deadlines.
• Experience working with external legal advisers, regulators, consultants or industry bodies.
• Experience identifying and implementing opportunities to improve compliance processes through technology, automation or better use of data.
• Existing or previous experience operating at Manager level (preferred).

The Type of Candidate That We're Looking For

You are an experienced compliance professional, enthusiastic, and team-focused. You are skilled in arranging and delivering tasks, ensuring they are completed to a high standard, every time. You possess strong written and verbal communication skills and can tailor your style to your audience with ease. You have experience in building strong working relationships across all levels and understand the importance of delivering excellent service to stakeholders. You have an eye for process improvement and are comfortable working with technology (including AI), automation and data.

Critical Skills (not limited to)

• Nurture relationships.
• Improvement mindset.
• Storytelling.
• Team working.

At Baillie Gifford, we are committed to fostering an inclusive and respectful culture in which each of our colleagues can thrive and develop. We believe that our clients are best served by a diverse workforce with the experiences, ideas and perspectives that this brings. Join us and we’ll actively support you to explore the possibilities of your career and interests. We’ll give you on-going training and development, all to ensure you have valuable opportunities to grow your unique talents and pursue your goals. We’re also incredibly committed to the wellbeing of our employees.