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.
This is a role on the 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 Asset Management Division ( AMD ).
The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to regulatory requests, respond to compliance 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.
Ability to work as part of a team as well as act as project lead on various compliance matters
Good familiarity with all aspects of asset management compliance
Represented 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 senior business personnel and deliver good compliance outcomes in time constrained situations.
Compliance monitoring of any aspects of FCA regulations as part of general monitoring or forensic review work
Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
Participate in compliance working groups for firm strategic initiatives
Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
Provide daily compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
Performing tasks relating to marketing, distribution and third-party distributor due diligence
Compliance advisory regarding global asset management marketing and distribution questions : UCITS / Non-UCITS / cross border distribution
Compliance advisory on new GSAM fund launch projects
Preparation, organisation and delivery of compliance trainings
Miscellaneous projects as required
5+ years compliance experience in asset management
Risk and control focused individual with excellent judgment
Knowledge of investment instruments including derivatives
General compliance knowledge and familiarity with FCA regulations, MiFID, UCITS and AIFM Directives. Knowledge of CSSF, CBI, BaFin, SEC, Investment Adviser's Act, Investment Company Act, ERISA is helpful but not required.
Effective analytical and organizational skills
Strong verbal and written communication skills
Ability to handle multiple tasks with attention to detail and work under pressure
Ability to work both independently and as part of a team
Graduate equivalent education (Preferred)