Compliance, GSAM Compliance, Analyst, New York
MORE ABOUT THIS JOB
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.
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 US Regulatory Compliance Group within GSAM Compliance is primarily responsible for Funds that are subject to regulation under the Investment Company Act of 1940 and are organized as open end funds, closed end funds, BDCs, externally managed open-end funds and ETFs. The Group interacts with different business lines and control functions, including Portfolio Management, Product Development, Sales, Operations, IT, Legal, Controllers, Fund Services and Product Management. GSAM Compliance is seeking an Analyst to join our US Regulatory Compliance Group in NYC.
As part of the US Regulatory Compliance team, the primary responsibilities of the Analyst will include:
- Assisting with maintaining the compliance programs for the Funds described above
- Reviewing and drafting policies and procedures
- Preparing reports to the Boards
- Overseeing the compliance program of GSAM, as the adviser of the Funds
- Overseeing the compliance programs of the service providers to the Funds (e.g. fund administrator, transfer agent)
- Performing forensic reviews
- Responding to due diligence/compliance questionnaires and reviewing policies and procedures in GSAM's role as sub-adviser to external funds
- Filing Form ADV
- Delivering compliance trainings
RESPONSIBILITIES AND QUALIFICATIONS
- Interest and willingness to develop expertise in regulatory and compliance issues in financial industry
- Strong analytical skills
- 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
- Risk and control focused individual with excellent judgment
ABOUT GOLDMAN SACHS
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
The Goldman Sachs Group, Inc., 2015. All rights reserved.
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