Compliance, Asset Management Compliance, Associate/Vice President

3 weeks ago

New York NY United States Goldman Sachs Full time
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

Job Description

This position sits in divisional compliance and is focused on Goldman Sachs Asset Management ("AM")
AM delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique
AM's clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals
AM serves a diverse range of clients - individuals, financial advisors, and institutions - who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future

AM Compliance is seeking a compliance Associate or Vice President to join the US AM Compliance team
AM Compliance provides daily advice to AM's various business teams on portfolio management, investing and lending activities, fundraising, the Investment Advisers Act, Investment Company Act, reputational risk, and other various regulatory requirements
The individual will interact with different business lines and control functions, including AM's Portfolio Management teams, Sales, Finance, Operations, Engineering, Legal, and Internal Audit
The ideal candidate will have a strong interest in understanding AM's business model and operational processes

Responsibilities
  • Provide compliance oversight and support for AM personnel and provide advice on how to conduct AM's business in a manner that complies with the vast array of applicable rules, regulations, and regulatory expectations
  • Analyze and stay current on global rules and regulations applicable to the sale of AM products in the US and abroad
  • Work with regional compliance, legal, and business teams on cross-border marketing initiatives and provide guidance on regulatory requirements
  • Develop, draft, and maintain compliance policies and procedures outlining firm requirements, jurisdictional requirements, regulations, and best practices
  • Create and deliver compliance trainings
  • Coordinate with the business and other internal stakeholders to assist with new business initiatives and regulatory requirements
  • Review and advise on product marketing materials used to pitch AM's products and services
  • Perform testing, including the review of surveillances and conducting forensic reviews to assess compliance risks and identify potential breaches
  • Assist with regulatory examinations, audits and inquiries
Qualifications
  • Bachelor's Degree, JD or MBA
  • 3-10 years of Compliance, Legal, Regulatory or Financial Services industry experience
  • Excellent communications skills (oral and written), judgment, organizational skills, and project management skills
  • Ability to handle multiple tasks simultaneously and work in a fast paced environment
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

© The Goldman Sachs Group, Inc., 2023
All rights reserved

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Salary Range
The expected base salary for this New York, New York, United States-based position is $115000-$250000
In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end

Benefits
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience
A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here

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