Compliance, Asset and Wealth Management Compliance, Associate, London location_on London, Greater London, England, United Kingdom
OUR IMPACT
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.
YOUR IMPACT
This is a role on the Asset Wealth Management (“AWM”) 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 AWM business. The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to regulatory requests, respond to 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 core aspects of Asset Management Compliance
- Ability to represent 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 business personnel and deliver good Compliance outcomes in time constrained situations.
- Provide Compliance support and representation on AWM strategic initiatives
- Review and approval of financial promotion materials
- Provide daily Compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
- Compliance monitoring of any aspects of regulations as part of general monitoring or forensic review work
- Assistance in the production of board reports for the Head of EMEA AM Compliance
- Participate in the review and evaluation of new instruments and vehicles to identify Compliance issues and surveillance needs
RESPONSIBILITIES
- Provide Compliance support and representation on AWM strategic initiatives
- Review and approval of financial promotion materials
- Provide daily Compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
- Compliance monitoring of any aspects of regulations as part of general monitoring or forensic review work
- Assistance in the production of board reports for the Head of EMEA AM Compliance
- Participate in the review and evaluation of new instruments and vehicles to identify Compliance issues and surveillance needs
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, personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
BENEFITS AT GOLDMAN SACHS
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program. We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state‑of‑the‑art on‑site health centers in certain offices.
To encourage employees to live a healthy and active lifestyle, some of our offices feature on‑site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre‑approved amount).
We offer on‑site child care centres that provide full‑time and emergency back‑up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.
Read more about the full suite of class‑leading benefits our firm has to offer.
