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 is a fantastic opportunity to join the North American Compliance team, and play a central and varied role supporting the North American Compliance Framework. This team plays an important role within the Department in efforts to protect our clients, our firm and staff from regulatory issues by fostering compliant and ethical outcomes and seeks to manage and mitigate relevant North American compliance risks within the agreed risk appetite.,
* Compliance Framework: Support the successful delivery of Baillie Gifford's North American Compliance frameworks, encouraging innovations, continuous improvements and ensuring processes are future-proof.
* Knowledge Development: Support the development and core understanding of junior colleagues in North American Compliance matters, while developing and demonstrating strong knowledge of Baillie Gifford's business activities and corporate structure.
* Regulatory Advice: Deliver subject matter expertise through the provision of regulatory advice and assistance to stakeholders, including senior management, on North American compliance matters.
* Project Leadership: Lead North American regulatory project initiatives, demonstrating confidence and judgment in identifying solutions and working with the business through and beyond regulatory implementation as required.
* Compliance RADAR: Monitor North American regulatory developments through the Compliance RADAR process and provide subject matter expertise in supporting junior colleagues on this process. Perform analysis on North American regulatory development items identified through the Compliance RADAR process and identify and highlight potential or actual impacts with senior compliance and business leaders
* Assurance Reporting: Lead on the completion of scheduled North American Compliance assurance reporting for Baillie Gifford Board / Group / Committee and Investment Vehicles, demonstrating judgment on information and content to be provided.
* Policy Reviews: Support on technical reviews of annual and ad-hoc reviews of Group and North American Compliance policies, framework documentation, and process notes.
* Client Queries: Support in monitoring and responding to North American DDQ and RFP requests received in the Compliance Client Queries mailbox. Lead in monitoring the North American Compliance mailbox and take responsibility for responding to technical regulatory queries.
The Senior Compliance Analyst will play a pivotal role in supporting the North American Compliance Managers in delivering the annual North American Compliance program. This analytical role requires a strong knowledge of North America's regulatory environment and building a deep understanding of Baillie Gifford's North American regulated entities and the activities they perform. The ideal candidate will be highly organised, proactive, with the capability and confidence to manage varied work loads under a deadline driven environment., Strong knowledge of the US and / or Canadian regulatory jurisdictional requirements for Investment Advisers
* Significant experience at a senior compliance analyst level or equivalent in an advisory role
* Strong organisational and project management skills
* Excellent communication and interpersonal skills and the ability to interact at all levels within the firm
* Ability to work independently and as part of a team
* A proactive approach to problem solving and keen attention to detail, AQ / IMC / CISI Compliance Diploma or equivalent North American Compliance qualifications (preferred)
The Type of Candidate that we're looking for: The role will appeal to individuals that enjoy working closely and interacting as part of a wider team but are also comfortable focusing independently on analytical tasks. The individual should have strong compliance experience at senior analyst level or equivalent in an advisory role, and strong knowledge of the US or Canadian regulatory environment for Investment Advisers. Knowledge and understanding of North American investment vehicles such as US Mutual Funds, CITs or ETF's would also be desirable. The successful candidate will have a wide and varied workload in the North American Compliance team with deadline driven work ranging from drafting Compliance reports for BG boards and committees, managing North American Compliance queries, reviewing weekly North American regulatory developments and supporting and/or leading on North American regulatory change projects. If you enjoy asking questions, analysis and investigating issues and want to build on a specialist knowledge in North American Compliance we would be delighted to hear from you. Critical Skills
* Adaptability
* Enabling Others
* Improvement Mindset
* Systems Thinking
* 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.