At a Glance
- Tasks: Review marketing materials and ensure compliance with financial regulations.
- Company: Join Goldman Sachs, a leading global financial services firm.
- Benefits: Diverse opportunities for growth, training, and wellness programs.
- Other info: Collaborative environment with a focus on diversity and inclusion.
- Why this job: Make an impact in compliance while working with top professionals.
- Qualifications: 2 years in marketing compliance and strong analytical skills required.
The predicted salary is between 54000 - 66000 £ per year.
OUR IMPACT
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. Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance.
YOUR IMPACT
This is a role on the Asset Management Compliance team based in London. The successful candidate will provide Compliance advisory services covering sales and marketing activities within Goldman Sachs Asset Management (“GS AM”). The role will predominately involve reviewing marketing collateral to ensure conformity to financial promotion regulations and jurisdiction restrictions. Additionally, the successful candidate will work with business partners, Legal and Compliance colleagues to manage sales and marketing regulatory requests, enhance the compliance program in line with regulatory reforms, conduct surveillance and forensic reviews, deliver compliance trainings, and assist in drafting and updating compliance policies.
RESPONSIBILITIES
- Review and approval of financial promotions
- Support the forensic program, including engaging in ad hoc and programmatic reviews, escalating and logging findings, prepare policy reminders
- Compliance support and representation on strategic initiatives
- Participate in regulatory identification and implementation projects
- Develop and implement Compliance policies and procedures, outlining firm policies, regulations and best practices
- Preparing and delivering Compliance training
- Assisting in responding to regulatory inquiries and investigations
- Miscellaneous projects as required
SKILLS/EXPERIENCE
- A minimum of 2 years of experience in marketing compliance
- Demonstrated interest in financial markets, asset management and managing conduct risk
- A critical thinker with strong analytical, organizational, researching and fact-gathering skills
- A highly motivated self-starter, who learns quickly and works well under pressure
- Able to effectively summarize, communicate and defend positions
- A proactive team player, who enjoys working collaboratively across teams and disciplines
- Possess effective interpersonal and communication skills; the candidate should be outgoing, communicative, persuasive and courteous
Compliance, Asset Management Compliance, Associate, London employer: Goldman Sachs
Goldman Sachs is an exceptional employer, offering a dynamic work environment where innovation and collaboration thrive. With a strong commitment to employee growth, the firm provides extensive training and development opportunities, alongside a diverse and inclusive culture that values every individual's contributions. Located in a global financial hub, employees benefit from engaging with top-tier professionals while managing a portfolio of EMEA Corporate clients, ensuring meaningful and impactful work in the field of credit risk analysis.
