At a Glance
- Tasks: Join our team to support compliance in asset and wealth management.
- Company: Goldman Sachs, a leading global investment firm with a diverse culture.
- Benefits: Competitive salary, generous vacation, health support, and professional development opportunities.
- Other info: Exciting career growth in a fast-paced environment.
- Why this job: Make a real impact in compliance while working with a dynamic team.
- 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 provides unique opportunities to engage with a variety of projects and initiatives, making it a rewarding place for those looking to make a meaningful impact.
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 current or former employees at Goldman Sachs through LinkedIn. A friendly chat can give you insider info and maybe even a referral.
✨Tip Number 2
Prepare for the interview by brushing up on compliance topics relevant to Asset and Wealth Management. Show us you know your stuff and can adapt to the ever-changing regulatory landscape.
✨Tip Number 3
Practice your STAR technique for answering behavioural questions. We want to hear about your past experiences and how they relate to the role, so be ready to share specific examples.
✨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.
We think you need these skills to ace Compliance, Asset and Wealth Management Compliance, Associate, London
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Compliance Associate role. Highlight your relevant experience in asset management compliance and any specific skills that match the job description. We want to see how you can contribute to our team!
Showcase Your Team Spirit:Since this role involves working closely with various teams, emphasise your ability to collaborate and lead projects. Share examples of how you've successfully worked in a team setting or taken charge of compliance matters in the past.
Be Clear and Concise:When writing your application, keep it straightforward and to the point. Use clear language and avoid jargon unless it's relevant to compliance. We appreciate well-structured applications that are easy to read!
Apply Through Our Website:Don’t forget to submit your application through our official website! This ensures that your application gets to the right people and helps us track your interest in joining StudySmarter. We can't wait to hear from you!
How to prepare for a job interview at Goldman Sachs Group, Inc.
✨Know Your Compliance Stuff
Make sure you brush up on the core aspects of Asset Management Compliance. Familiarise yourself with recent regulatory changes and how they impact the firm. Being able to discuss these topics confidently will show that you're not just interested in the role, but that you understand its complexities.
✨Showcase Your Team Spirit
This role requires collaboration with various teams, so be ready to share examples of how you've successfully worked in a team environment. Highlight any experiences where you acted as a project lead or contributed to compliance initiatives, as this will demonstrate your ability to work well with others.
✨Prepare for Real-World Scenarios
Think about potential compliance challenges that could arise in asset management. Prepare to discuss how you would approach these situations, including any relevant experience you have. This will help you stand out as someone who can think critically and adapt to changing regulatory landscapes.
✨Practice Your Presentation Skills
Since you'll need to produce materials and present them to senior committees, practice explaining complex compliance concepts clearly and concisely. Consider doing mock presentations with friends or family to build your confidence and ensure you can communicate effectively during the interview.
