GSDS - Global Shareholder Disclosure Compliance Analyst

Location: Greenwich, CT
Date Posted: 04-27-2018
GSDS (Global Shareholder Disclosure) Compliance Analyst
Full-time Permanent Position
Location: Greenwich, CT or San Diego, CA

We are seeking a highly motivated GSDS (Global Shareholder Disclosure) Compliance Analyst with strong analytical and communication skills to join our product management team.  The position assists with the development, construction, implementation and support of the firm’s GSDS rules library for its Compliance software product. The ideal candidate will have previous RIA/Investment Manager compliance experience (i.e. overseeing the firm’s GSDS compliance adherence and reporting) and strong familiarity with the nuances of Global Shareholder Disclosure country compliance rules.  This position is tasked with providing effective oversight of the GSDS product and ensuring that accurate GSDS rules are provided to the firm’s investment management clients.  *Ideally seeking someone who comes from an investment management firm with international securities and has done GSDS filing, uses Charles River or comparable system
Specific Responsibilities:
  • Updating GSDS rules based on information provided from Allen & Overy’s aosphere product
  • Ability to oversee update process for rules and administer scripts for this purpose both internally and for client software updates
  • Working with head of marketing, product management, software development and QA to implement and oversee GSDS rules library and overall GSDS product
  • Conducts regular testing of GSDS rules and reports issues to QA for resolution
  • Point of contact for questions regarding GSDS rules that come up with clients and ability to speak to the nuances of country-specific rules, including conducting research on best practices for rules implementation
  • Participate in email, social media and other electronic communications informing clients of rule changes in conjunction with marketing and client services staff
  • Conduct periodic training of new and existing employees on GSDS rules and functionality
  • Perform special compliance-related projects and tasks as assigned
  • Bachelor’s degree with a minimum of 3 years of relevant compliance experience with an SEC-registered investment advisor or provider of GSDS software or data
  • Knowledge of SEC and GSDS regulatory requirements and other securities laws
  • Strong knowledge of Microsoft Office, especially Excel; knowledge of SQL queries or report writing a plus
  • Self-starter with the ability to prioritize and address multiple projects in order to meet deadlines
  • Analytical skills required and attention to detail with ability to solve complex problems
  • Strong communication, interpersonal and diplomatic skills with the ability to speak with client compliance departments in charge of GSDS at their own firms
  • Competitive Compensation Package
  • Work with a team of experienced professionals in a casual and creative environment
  • Subsidized health care and dental plans
  • 401K Plan
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