At a Glance
- Tasks: Provide compliance advice on alternatives investing and asset management marketing.
- Company: Join Goldman Sachs, a leading global financial services firm with a diverse culture.
- Benefits: Enjoy professional development, wellness programs, and a commitment to diversity and inclusion.
- Other info: Collaborate with top professionals and grow your career in a fast-paced compliance setting.
- Why this job: Make a real impact in a dynamic environment while working on high-stakes compliance projects.
- Qualifications: 5+ years of compliance experience, preferably in asset management, with strong analytical skills.
The predicted salary is between 75600 - 92400 £ per year.
OUR IMPACT
The Goldman Sachs Group, Inc. is a leading global financial services firm delivering investment banking, securities, asset management and wealth management services to a substantial and diversified global client base, including corporations, financial institutions, governments and high-net-worth individuals.
Headquartered in New York, the firm operates across major financial centres including London, Dublin, Frankfurt, Tokyo and Hong Kong.
YOUR IMPACT
This role sits within the Asset & Wealth Management Compliance Advisory team in London, supporting Goldman Sachs Asset Management International (“GSAMI”), part of the broader Asset & Wealth Management (“AWM”) business.
The successful candidate will work closely with business partners and Legal and Compliance colleagues to provide practical, risk-based compliance advice across alternatives investing, portfolio management and marketing activity.
The role offers exposure to a broad range of high-impact matters, including business advisory queries, regulatory requests, regulatory reform implementation, forensic reviews, business training, policy development, marketing material review and sales activity advisory.
EXPERIENCE
- Proven ability to work collaboratively within a team while confidently leading projects across a range of compliance matters
- Strong working knowledge of asset management compliance, with the ability to apply regulatory requirements to practical business scenarios
- Experience representing Compliance on strategic initiatives, including new activities, new products and regulatory reform projects
- Understanding of compliance programmes, including the design, enhancement and implementation of effective controls and governance frameworks
- Ability to produce clear, insightful materials and present effectively to senior firm committees and/or boards
- Sound judgment and confidence engaging with business stakeholders to deliver timely, risk-based compliance outcomes in time-constrained situations
- Ability to handle multiple tasks with attention to detail and work under pressure
- Compliance advisory on alternatives investing activity and associated governance requirements
- Compliance advisory regarding global asset management marketing and distribution questions, including review of marketing materials
- Compliance advisory on new AM fund launch projects
- Prepare, organise and deliver compliance training
- Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
- Lead and manage strategic Compliance projects, including compliance enhancements, business initiatives and regulatory reform
- Participate in compliance working groups for firm strategic initiatives
- Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
- Conduct compliance monitoring and forensic reviews to assess adherence to regulatory obligations, internal policies and control expectations
- Contribute to additional projects and priorities as required in a dynamic, fast-paced compliance environment
- 5+ years of compliance experience; asset management experience preferred
- Risk- and control-focused mindset, with excellent judgment and the ability to balance commercial priorities with regulatory expectations
- Knowledge of investment instruments including alternative investment funds, and an interest in applying that knowledge in a compliance advisory context
- General compliance knowledge and familiarity with FCA regulations, Mi FID and AIFM requirements
- Excellent analytical, communication and stakeholder-management skills, with strong attention to detail and a proactive, collaborative approach
RESPONSIBILITIES
- Compliance advisory on alternatives investing activity and associated governance requirements
- Compliance advisory regarding global asset management marketing and distribution questions, including review of marketing materials
- Compliance advisory on new AM fund launch projects
- Prepare, organise and deliver compliance training
- Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
- Lead and manage strategic Compliance projects, including compliance enhancements, business initiatives and regulatory reform
- Participate in compliance working groups for firm strategic initiatives
- Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
- Conduct compliance monitoring and forensic reviews to assess adherence to regulatory obligations, internal policies and control expectations
- Contribute to additional projects and priorities as required in a dynamic, fast-paced compliance environment
QUALIFICATIONS
- 5+ years of compliance experience; asset management experience preferred
- Risk- and control-focused mindset, with excellent judgment and the ability to balance commercial priorities with regulatory expectations
- Knowledge of investment instruments including alternative investment funds, and an interest in applying that knowledge in a compliance advisory context
- General compliance knowledge and familiarity with FCA regulations, Mi FID and AIFM requirements
- Excellent analytical, communication and stakeholder-management skills, with strong attention to detail and a proactive, collaborative approach
- 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.
Learn more: https://www. goldmansachs. com/careers/footer/disability-statement. html
© The Goldman Sachs Group, Inc., 2023. All rights reserved.
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.
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Compliance, Asset and Wealth Management, Private Alternatives Compliance, Associate/Vice President, London employer: Goldman Sachs
Goldman Sachs is an exceptional employer, offering a dynamic work environment in the heart of London where innovation and collaboration thrive. Employees benefit from comprehensive professional development opportunities, a strong emphasis on diversity and inclusion, and the chance to work with some of the brightest minds in finance. With a commitment to client success and a culture that fosters growth, joining Goldman Sachs means being part of a prestigious firm that values your contributions and supports your career aspirations.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance, Asset and Wealth Management, Private Alternatives Compliance, Associate/Vice President, London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Goldman Sachs looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance, Asset and Wealth Management, Private Alternatives Compliance, Associate/Vice President, London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Goldman Sachs. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Goldman Sachs
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Goldman Sachs’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
