Compliance, Asset Management Compliance, Vice President, London
Goldman Sachs
London, England, GB
1d ago

Job Description

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.

    EXPERIENCE

  • 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.
  • RESPONSIBILITIES

  • 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
  • QUALIFICATIONS

  • 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)
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