At a Glance
- Tasks: Support compliance in asset management, monitor regulations, and advise on strategic initiatives.
- Company: Join Goldman Sachs, a leading global investment banking and management firm.
- Benefits: Diverse opportunities for growth, wellness programs, and a commitment to inclusion.
- Other info: Exciting career development in a fast-paced, supportive 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 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
Compliance, Asset and Wealth Management Compliance, Associate, London employer: Goldman Sachs
Goldman Sachs is an exceptional employer, offering a dynamic work environment in the heart of London where compliance professionals can thrive. With a strong commitment to diversity and inclusion, employees benefit from extensive training and development opportunities, wellness programs, and a culture that values sound judgment and adaptability. Joining our Asset and Wealth Management Compliance team means being part of a collaborative group dedicated to navigating the complexities of regulatory landscapes while fostering personal and professional growth.
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 compliance field, especially those at Goldman Sachs. A friendly chat can open doors and give you insights that might just land you an interview.
✨Tip Number 2
Prepare for the interview by brushing up on your knowledge of compliance regulations and asset management. We want to see that you're not just interested but genuinely knowledgeable about the industry.
✨Tip Number 3
Showcase your adaptability! The regulatory landscape is always changing, so highlight any experiences where you've successfully navigated changes or challenges in compliance.
✨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 the 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 role. Highlight your relevant experience in asset management compliance and any specific skills that align with the job description. We want to see how you can bring value 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.
Demonstrate Your Curiosity:We love candidates who are curious and eager to learn! Mention any instances where you've adapted to changes in regulations or taken the initiative to stay updated on compliance trends. This shows us you're ready to tackle the dynamic nature of the role.
Apply Through Our Website:Don't forget to submit your application through our official website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it gives you a chance to explore more about our culture and values.
How to prepare for a job interview at Goldman Sachs
✨Know Your Compliance Basics
Before heading into the interview, brush up on the core aspects of Asset Management Compliance. Understand the regulatory landscape and be ready to discuss how compliance impacts portfolio management, trading, and sales activities.
✨Showcase Your Team Spirit
This role requires collaboration with various teams. Be prepared to share examples of how you've successfully worked in a team setting or led projects. Highlight your ability to adapt and communicate effectively with different stakeholders.
✨Prepare for Scenario Questions
Expect questions that assess your judgment and problem-solving skills in compliance scenarios. Think of specific instances where you identified compliance risks or implemented controls, and be ready to explain your thought process.
✨Demonstrate Your Curiosity
The firm values curiosity and a proactive approach to learning. During the interview, express your interest in staying updated on regulatory changes and how you would apply this knowledge to enhance the compliance programme.
