Compliance Officer

Brief Description

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, Sydney, and Abu Dhabi. GQG Partners manages more than US $160.4 billion in client assets as of January 31, 2025 and employs approximately 236 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

Title: Compliance Officer

Manager: Chief Compliance Officer

Employment: Full Time

Location: Al Maryah Island, Abu Dhabi

Key Responsibilities

The Compliance Officer will be a key part of GQG's Compliance department, reporting to the Chief Compliance Officer. The responsibilities and primary focuses are:

1. Serve as the Compliance team's subject matter expert as it relates to Indian securities and other law compliance matters, particularly with respect to:
   • SEBI regulations, including those relating to FPIs.
   • Indian regulatory filings including, but not limited to, local Indian large shareholder filings.
2. Participate in aspects of new account onboarding, from the review of investment guidelines to the coding of investment rules into the firm's compliance module.
3. Assist with day-to-day portfolio guideline monitoring, including the approval of pre-trade alerts.
4. Generate and interpret the firm's post-trade compliance report.
5. Complete client reporting and certifications.
6. Update restricted lists.
7. Assist with all aspects of the implementation of the GQG Partners Ltd Compliance program.

Qualifications

• Deep familiarity with Indian legal requirements as they relate to investment managers such as GQG Partners.
• At least 3 years of experience focused on SEBI regulations at an investment management company.
• Portfolio guideline monitoring experience is preferred.
• Sound understanding of equity investment process, strategies, and investments.
• Strong analytical skills.
• Honesty and integrity.
• Solid organizational and time management skills to meet deadlines.
• Effective verbal, written, and interpersonal communication skills.
• Ability to work both in a team environment and independently.
• Deep proficiency level with MS Word, Excel, PowerPoint, and Adobe.

GQG Partners Ltd is an Equal Opportunity Employer and will not engage in unlawful discrimination on any basis prohibited by local law. This policy applies to all aspects of employment, including recruitment, placement, promotion, transfer, demotion, compensation, benefits, social and recreational activities, and termination.

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