• Job Description

  Req#: R0003819

  Job Title

  Group Compliance Monitoring Manager

  Department

  Compliance-BG-UK

  Overview of Department

  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.

  Purpose of Role

  At Baillie Gifford, we recognise that like all organisations, we can’t afford to stand still. We’ll only succeed by staying at the forefront of our industry. To help us keep achieving that, our people share ideas and collaborate to develop new and better ways of working. While many organisations describe themselves as ‘team focused’, it genuinely is the case here. It’s how we are.
  
  Reporting directly to the Senior Manager for Group Compliance Monitoring, whilst supporting the Group Head of Anti-Financial Crime (AFC) discharge their oversight responsibilities as SMF-17, you will play a key role in developing and delivering a market-leading compliance monitoring function. An experienced Subject Matter Expert in AFC areas (e.g., Money Laundering and Terrorist Financing, Sanctions, Bribery & Corruption, Modern Slavery, and Market Abuse), you’ll be able to look at these through an Assurance lens whilst having a passion for innovation helping to shape the future of our monitoring function. You will support the business in the management of global regulatory risk through the development and implementation of a robust and dynamic compliance monitoring programme.

  Responsibilities

  As Baillie Gifford's Group Compliance Monitoring Manager, you will make a significant contribution to the overall design, development, implementation, and successful delivery of the Group Compliance Monitoring Plan whilst being responsible for AFC aspects of this.

  • Take a proactive approach to driving continuous change and improvement across all aspects of monitoring work, influencing positive change across the team.

  • Keep yourself and the wider team up to date on regulatory developments, including those relating to AFC, relevant to responsibilities, proposing and implementing solutions as appropriate.

  • Establish yourself as the team’s subject matter expert in financial crime monitoring, providing guidance to the wider team, demonstrating the ability to make sound judgements and decisions and escalate where necessary.

  • Spearheading the creation and execution of financial crime monitoring, including but not limited to, designing, and reviewing test work and thematic review outcomes from work carried out by junior team members.

  • Take responsibility for completion of high-quality thematic reviews, including co-ordinating senior management review, and successfully agreeing any findings and recommendations with the relevant business area and following through to completion.

  • Designing and producing high quality, accurate, timely and relevant management information, and presenting it to various internal stakeholder, boards, groups, and committees as appropriate.

  • Represent the compliance monitoring team in business and regulatory projects, focusing on financial crime aspects. Support junior team members in their roles on any business or regulatory projects.

  Your Knowledge and Experience

  • Proven significant experience in assurance with a strong emphasis on financial crime.

  • Relevant experience using technology and data,

  • Appropriate knowledge of regulatory requirements related to financial crime to align closely with the firm’s global footprint,

  • Financial Services experience, preferably within a Financial Institution or Asset Manager, and

  • Appropriate AFC related qualification, like an International Compliance Association diploma.

  • Prior experience of managing a team, with responsibility for mentoring, developing and coaching of members.

  Qualifications

  • AFC related qualifications will be considered.

  The Type of Candidate That We're Looking For

  As a naturally strong communicator, you communicate effectively and professionally with people at all levels across the firm and build relationships with ease. Comfortable working with external 3rd party software, you demonstrate impressive analytical skills and excellent attention to detail, whilst embracing the use of technology. Your improvement orientated mindset means that you proactively review and seek to improve existing processes and practices, contributing towards the ongoing development of a market leading programme. Driven by your desire to innovate, you take ownership or issues and challenges and work collaboratively to find effective solutions, each and every time.

  Critical Skills (not limited to)

  • Data literacy

  • Enabling others

  • Team working

  • Storytelling

  • Improvement mindset

  Closing Date

  July 21, 2024

  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.

  If you are currently working at Baillie Gifford as an employee or contractor please apply to this job from the firm's Workday internal career site.

• About the company

  Baillie Gifford is an investment management firm which is wholly owned by partners, all of whom work within the firm.

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