Compliance, Asset and Wealth Management Compliance, Associate, London

London, United Kingdom

OUR IMPACT

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

YOUR IMPACT

This is a role on the Asset Wealth Management (“AWM”) Compliance Advisory team helping to provide Compliance advisory services covering portfolio management, trading, sales and marketing activity within Goldman Sachs Asset Management International (“GSAM”) based in London, where GSAM is part of the broader AWM business. The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to regulatory requests, respond to queries from the business, uplift Compliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business in compliance matters, participate in policy updates and drafting, conduct marketing material sign off, and advise on sales activity.

EXPERIENCE

Ability to work as part of a team as well as act as project lead on various compliance matters
Good familiarity with core aspects of Asset Management Compliance
Ability to represent Compliance on projects such as new activities, new products or regulatory reform
Understanding of Compliance programs and development and implementation of those programmes
Production of materials and presentation of those to senior firm committees and/or board
Ability to deal with business personnel and deliver good Compliance outcomes in time constrained situations.
Provide Compliance support and representation on AWM strategic initiatives
Review and approval of financial promotion materials
Provide daily Compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
Compliance monitoring of any aspects of regulations as part of general monitoring or forensic review work
Assistance in the production of board reports for the Head of EMEA AM Compliance
Participate in the review and evaluation of new instruments and vehicles to identify Compliance issues and surveillance needs

RESPONSIBILITIES

Provide Compliance support and representation on AWM strategic initiatives
Review and approval of financial promotion materials
Provide daily Compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
Compliance monitoring of any aspects of regulations as part of general monitoring or forensic review work
Assistance in the production of board reports for the Head of EMEA AM Compliance
Participate in the review and evaluation of new instruments and vehicles to identify Compliance issues and surveillance needs

ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.

$100,000 - $160,000

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