Compliance, GSAM Compliance, Analyst/Associate, Chicago
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.
RESPONSIBILITIES AND QUALIFICATIONS
Goldman Sachs Asset Management Compliance is seeking an Analyst/Associate to join GSAM Compliance in a dual role with the Fixed Income Compliance Team and Sales Compliance Team. The individual will provide compliance coverage of CFTC and NFA regulatory matters, including performing risk assessments, completing regulatory filings, developing policies and procedures, providing training and ad hoc advice to portfolio management personnel, and designing and performing surveillance and other testing for compliance with rules and policies for products that include swaps and futures. The individual will also provide compliance support for the U.S. based Sales team, including leading trainings, conducting third-party distributor due diligence, and providing guidance on regulatory changes and sale practice rules. Other responsibilities may include reviewing marketing materials, reviewing and assessing new products, reviewing surveillance results and general compliance support for asset management. The individual will interact with different business lines and control functions, including Portfolio Management, Product Development, Sales, Operations, IT, Legal and Controllers.
The candidate will have excellent judgment, excellent written and oral communication skills, strong organizational and project management skills; and will have the ability to work in a very fast paced environment.
- Analyst level: 1-2 years of relevant experience
- Associate level: 3-6 years of relevant experience
- 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
- Familiarity with SEC, FINRA, CFTC and NFA rules preferred (but not required)
- Must be organized and attentive to detail
- 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 reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
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