At a Glance
- Tasks: Support compliance in asset management, ensuring regulatory adherence and risk mitigation.
- Company: Join Goldman Sachs, a leading global investment banking and asset management firm.
- Benefits: Enjoy competitive pay, wellness programs, and generous vacation policies.
- Other info: Dynamic work environment with opportunities for personal and professional growth.
- Why this job: Make a real impact in compliance while working with diverse teams and innovative projects.
- Qualifications: Team player with knowledge of asset management compliance and strong communication skills.
The predicted salary is between 55000 - 65000 £ per year.
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 and personal finance offerings and mindfulness programs.
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.
Compliance, Asset and Wealth Management Compliance, Associate, London employer: Goldman Sachs Group, Inc.
Goldman Sachs is an exceptional employer, offering a dynamic work environment in London that fosters professional growth and inclusivity. With a strong commitment to employee development, competitive benefits, and a culture that values diversity, employees are empowered to thrive both personally and professionally. The firm’s focus on compliance within the Asset and Wealth Management sector ensures meaningful work that contributes to the integrity of the financial industry.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance, Asset and Wealth Management Compliance, Associate, London
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect with alumni from your university. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their compliance practices and be ready to discuss how your skills align with their needs. Practice common interview questions and have your own questions ready to show your interest.
✨Tip Number 3
Follow up after interviews! A quick thank-you email can go a long way in leaving a positive impression. It shows your enthusiasm for the role and keeps you on their radar.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re serious about joining our team at Goldman Sachs.
We think you need these skills to ace Compliance, Asset and Wealth Management Compliance, Associate, London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance role. Highlight relevant experience in asset management compliance and any specific projects you've led. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our team. Be sure to mention any unique skills or experiences that set you apart.
Showcase Your Teamwork Skills:Since this role involves working closely with various teams, make sure to highlight your teamwork abilities. Share examples of how you've collaborated on compliance projects or navigated regulatory challenges with others.
Apply Through Our Website:We encourage you to apply through our website for the best chance of being noticed. It’s straightforward and ensures your application goes directly to us. Plus, you’ll find all the info you need about the role there!
How to prepare for a job interview at Goldman Sachs Group, Inc.
✨Know Your Compliance Basics
Before the interview, brush up on the core aspects of Asset Management Compliance. Familiarise yourself with recent regulatory changes and how they impact compliance practices. This will show your potential employer that you’re proactive and knowledgeable about the field.
✨Showcase Your Team Spirit
Since this role involves working closely with various teams, be ready to discuss examples of how you've successfully collaborated in the past. Highlight your ability to adapt and lead projects, as well as how you’ve contributed to achieving compliance outcomes under pressure.
✨Prepare for Scenario Questions
Expect questions that assess your judgement and problem-solving skills in compliance scenarios. Think of specific situations where you had to navigate complex regulations or compliance issues, and be prepared to explain your thought process and the outcomes.
✨Ask Insightful Questions
At the end of the interview, don’t forget to ask questions that demonstrate your interest in the firm’s compliance culture and initiatives. Inquire about how the team adapts to regulatory changes or what challenges they foresee in the near future. This shows you’re engaged and forward-thinking.
