Compliance Associate

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Role Summary
 
The Compliance Associate is primarily responsible for reviewing sales solicitations, performing initial and ongoing review of introducing broker and money manager relationships, and reviewing marketing/advertising content.  The Compliance Associate will also be responsible for maintaining policies and procedures to support these key functions. The individual in this role must be bilingual (English and Chinese) and should have 1-3 years’ experience working in Customer Support or Compliance capacity.
 
Key Responsibilities
 
  • Responsible for reviewing GAIN Global Markets Inc (“GGMI”) promotional material and communications with the public to ensure compliance with regulatory requirements and internal standards
  • Perform reviews of new and existing third party relationships (ie. Introducing Brokers & money managers), including a review of their marketing materials (ie. websites, e-mails, presentations, etc)
  • Responsible for providing Compliance training to GGMI sales and customer support staff as well as maintaining and updating training materials as needed
  • Primary contact for Chinese Compliance escalations from sales, support, and new accounts.
  • Maintain internal Compliance Department procedures for GGMI
  • Stay abreast of changing regulatory requirements and escalate to management as needed
  • Review sales solicitations to ensure compliance with applicable regulation
  • Assist with the preparation for and administration of regulatory, 3rd party, and internal audits/exams
  • Assisting with special projects as needed
 
Skills, Knowledge & Experience Required
 
  • Effective verbal and written communication skills in both English and Chinese
  • Detail oriented, organized, ability to prioritize and work simultaneously on multiple projects with varying deadlines
  • Experience using Salesforce, more specifically the “Cases” feature.
  • Ability to quickly translate Chinese to English
  • Ability to identify and communicate perceived risk to Compliance Management
  • Understanding of US, UK , or Cayman Islands promotional material rules a plus
  • Experience reviewing customer communications for compliance with internal, regulatory, or industry standards
 
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  UNDER MARYLAND LAW AN EMPLOYER MAY NOT REQUIRE OR DEMAND AS A CONDITION OF EMPLOYMENT, PROSPECTIVE EMPLOYMENT OR CONTINUED EMPLOYMENT, THAT AN INDIVIDUAL SUBMIT TO OR TAKE A LIE DETECTOR OR SIMILAR TEST. AN EMPLOYER WHO VIOLATES THIS PROVISION IS GUILTY OF A MISDEMEANOR AND SUBJECT TO A FINE NOT EXCEEDING $100.

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