Goldman Sachs Asset Management Compliance - Vice President - London
Goldman Sachs
London, UK
7h ago

WHO WE ARE

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals.

The firm is headquartered in New York and maintains offices in London, Dublin Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.

RESPONSIBILITIES AND QUALIFICATIONS

BUSINESS UNIT AND ROLE OVERVIEW

This is a senior 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 the lead compliance individual within the wider team direct management experience is preferred but not required
  • Good familiarity with all aspects of asset management compliance
  • Represented compliance on projects such as new activities, new products or regulatory reform
  • Familiar with compliance programmes 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

  • Provide daily compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
  • Compliance monitoring of any aspects of FCA regulations as part of general monitoring or forensic review work
  • Review post trade exceptions for investment violations
  • Assistance in the production of board reports of for the Head of EMEA AMD Compliance
  • Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
  • Provide daily compliance surveillance of GSAM employees Personal trading activity
  • Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
  • Ensure breaches and complaints are logged and cover the compliance aspect of the sign off
  • Create compliance training programsPerforming tasks relating to marketing, distribution and third-party distributor due diligenceCompliance advisory regarding global asset management marketing and distribution questions : UCITS / Non-UCITS / cross border distribution Review and approval of due diligence on third party distributors Compliance advisory on new GSAM fund launch projectsPreparation, 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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