Compliance, GSAM Compliance – AIMS, Analyst, Salt Lake City
MORE ABOUT THIS JOB
GLOBAL COMPLIANCEOur 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.
Goldman Sachs Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities. Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups. This position sits in divisional compliance with Goldman Sachs Asset Management (GSAM) Compliance.
The GSAM Alternative Investments & Manager Selection (AIMS) Group provides investors with investment and advisory solutions across leading hedge fund managers, private equity funds, private credit funds, real estate managers, and public equity and fixed income strategies. The AIMS Group manages globally diversified commingled fund products, targeted sector-specific strategies, customized portfolios, and a range of advisory services. The AIMS Group provides manager diligence, portfolio construction, risk management, and liquidity solutions to investors, drawing on Goldman Sachs' market insights and risk management expertise.
RESPONSIBILITIES AND QUALIFICATIONS
GSAM Compliance is seeking an Analyst to join our AIMS coverage team based in Salt Lake City. As part of the AIMS Compliance team, the primary responsibilities of the Analyst will include:
- Provide advisory support to the business and compliance teams on a daily basis
- Review marketing materials that are used to pitch GSAM products and services to clients
- Conduct conflict and trade pre-clearance checks
- Review and complete FINRA filings
- Monitor JOBS Act compliance Perform forensic reviews
- Conduct due diligence on third-party manager compliance programs
- Deliver compliance trainings
- Strong sense of urgency
- Excellent interpersonal skills – team player, able to forge relationships, build consensus and influence decisions
- Ability to handle multiple tasks and meet deadlines
- Must be a self-starter, able to work independently, and proactively follow-up
- Strong presentation skills
- Concise written and communication skills
- Must be organized and attentive to detail
- Interest and willingness to develop expertise in regulatory or business topics
- Risk and control focused individual with excellent judgment
ABOUT GOLDMAN SACHS
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
© The Goldman Sachs Group, Inc., 2017. All rights reservedGoldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
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