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- Tasks: Lead a team managing marketing collateral reviews and compliance functions in asset management.
- Company: Goldman Sachs is a top global financial services firm with a diverse client base.
- Benefits: Enjoy professional growth, wellness programs, and a commitment to diversity and inclusion.
- Why this job: Join a dynamic team, influence compliance strategies, and make a real impact in finance.
- Qualifications: 5+ years in compliance, strong analytical skills, and familiarity with FCA regulations preferred.
- Other info: Opportunities for personal and professional development in a supportive environment.
The predicted salary is between 72000 - 108000 £ per year.
WHO WE ARE
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and asset 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, Dublin, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.
BUSINESS UNIT AND ROLE OVERVIEW
This is a Team Manager role with a primary focus to manage the EMEA Asset Management marketing collateral review function. As a Team Manager this will include leading a team that primarily performs marketing collateral reviews and other Asset Management Compliance functions, such as monitoring and testing, implementing new regulations and providing Compliance advisory advice to the business. The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to marketing strategies, regulatory requests, respond to Compliance queries from the business, uplift the Compliance program in response to regulatory reform, perform surveillance and forensic reviews, designing and conduct Compliance training, participate in policy updates and drafting, and advise on sales activity.
EXPERIENCE
- Ability to manage a team of Compliance professionals and work as part of a broader Compliance team
- Ability to act as project lead on various Compliance matters
- Good familiarity with financial promotion rules and experience in conducting marketing collateral reviews
- Ability to represent Compliance on regulatory and business initiative projects
- Development and implementation of Compliance programs
- Production of materials and presentation of those to senior firm committees and/or board
- Ability to deal with senior business personnel and deliver good Compliance outcomes in time constrained situations
RESPONSIBILITIES
- People management
- Manage marketing, distribution and third-party distributor due diligence framework, and the Asset Management digital strategy
- Compliance advisory regarding global asset management marketing and distribution questions: UCITS/Non-UCITS/cross border distribution
- Preparation, organisation and delivery of Compliance trainings
- Lead and manage strategic Compliance projects, including Compliance enhancement, business initiatives and regulatory reform
- Compliance monitoring of any aspects of FCA regulations, and other international regulators, as part of general monitoring or forensic review work
- Develop and draft Compliance policies and procedures, outlining firm policies, regulations and best practices
- Participate in Compliance working groups for firm strategic initiatives
- Conduct surveillance and testing against regulatory requirements and applicable policies and procedures
QUALIFICATIONS
- 5+ years Compliance experience (asset management experience preferred, but not essential)
- Risk and control focused individual with excellent judgment
- Knowledge of core investment instruments
- Knowledge and familiarity with FCA regulations, MiFID, and AIFM Directives
- Knowledge of UCITS, CSSF, CBI, BaFin, SEC, Investment Adviser's Act, Investment Company Act, ERISA is helpful but not required
- Ability to demonstrate leadership attributes
- Ability to demonstrate excellent competencies, such as effective analytical and communication skills
- Ideally have a history of project management, regulatory implementation and change management
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. 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 Management, Vice President, Birmingham employer: Goldman Sachs, Inc.
Contact Detail:
Goldman Sachs, Inc. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Asset Management, Vice President, Birmingham
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks relevant to asset management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing regulatory environment.
✨Tip Number 2
Network with professionals in the compliance and asset management sectors. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance, which can give you an edge during discussions.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance projects or teams in the past. Highlighting your leadership skills and project management experience will be crucial in showcasing your fit for the Vice President role.
✨Tip Number 4
Research Goldman Sachs' culture and values, particularly their commitment to diversity and inclusion. Being able to articulate how your personal values align with theirs can set you apart as a candidate who is not only qualified but also a good cultural fit.
We think you need these skills to ace Compliance, Asset Management, Vice President, Birmingham
Some tips for your application 🫡
Understand the Role: Thoroughly read the job description for the Compliance, Asset Management, Vice President position. Make sure you understand the key responsibilities and qualifications required, as this will help you tailor your application.
Highlight Relevant Experience: In your CV and cover letter, emphasise your experience in compliance, particularly in asset management if applicable. Use specific examples that demonstrate your ability to manage teams, conduct marketing collateral reviews, and implement compliance programmes.
Showcase Leadership Skills: Since this is a Team Manager role, make sure to highlight your leadership experience. Discuss any previous roles where you managed a team or led projects, and how you successfully navigated challenges in compliance.
Tailor Your Application: Customise your CV and cover letter to reflect the specific requirements of the job. Use keywords from the job description, such as 'FCA regulations', 'compliance advisory', and 'marketing strategies' to ensure your application stands out.
How to prepare for a job interview at Goldman Sachs, Inc.
✨Understand the Compliance Landscape
Familiarise yourself with the key regulations and compliance frameworks relevant to asset management, such as FCA regulations, MiFID, and AIFM Directives. Being able to discuss these topics confidently will demonstrate your expertise and readiness for the role.
✨Showcase Your Leadership Skills
As a Team Manager, it's crucial to highlight your experience in managing teams and leading projects. Prepare examples of how you've successfully led compliance initiatives or managed a team through challenging situations, showcasing your ability to deliver results under pressure.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills and judgement in compliance scenarios. Think of specific instances where you had to navigate complex regulatory issues or make tough decisions, and be ready to explain your thought process and outcomes.
✨Demonstrate Effective Communication
Since the role involves advising senior business personnel and presenting to committees, practice articulating your thoughts clearly and concisely. Be prepared to discuss how you would communicate compliance requirements and training effectively to various stakeholders.
