Compliance, Asset Management Compliance
GOLDMAN SACHS
UK-London
20d 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, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.

GLOBAL COMPLIANCE

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.

    BUSINESS UNIT AND ROLE OVERVIEW

    The role of this Compliance Officer is to work within the team providing compliance coverage for marketing and distribution teams within Goldman Sachs Asset Management.

    The team also provides compliance coverage for GSAM’s Third Party Manager Business. Core functions of the team include reviewing and approving financial promotions, conducting due diligence on the distributors’ of GSAM funds and third party managers, running surveillance of our sales process and drafting policies and procedures.

    RESPONSIBILITIES AND QUALIFICATIONS

    RESPONSIBILITIES

  • Review and approval of financial promotions.
  • Products include pooled vehicles, hedge funds, sub-advised products, and separately managed accounts, private equity fund of funds, and hedge fund of funds.
  • Conduct forensic reviews on specific areas of coverage to ensure GSAM’s sales process remains robust.
  • Undertake compliance training of the marketing and distribution teams in GSAM.
  • Work alongside the business and Legal to conduct due diligence of third party distributors and private equity, public equity and hedge fund managers.
  • Develop, draft and update compliance policies and procedures, outlining firm policies, regulations and best practices.
  • Help with implementation of key regulatory changes which may have an impact to GSAM.
  • QUALIFICATIONS / SKILLS REQUIRED

  • Knowledge of financial instruments and relevant regulations
  • General compliance knowledge and familiarity with regulatory issues relating to asset managers
  • Strong analytical and organizational skills
  • Effective verbal and written communication skills
  • Ability to handle multiple tasks with attention to detail and work under pressure
  • Self-starter with the ability to work effectively with minimal supervision. Strong proficiency in Microsoft Excel and Word a plus
  • Ability to work both independently and as part of a team
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