Compliance, GSAM Compliance, Vice President
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
This position sits in divisional compliance with Goldman Sachs Asset Management (GSAM) Compliance. GSAM delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. GSAM Compliance is seeking a senior level legal and/or compliance professional to join the Equities Compliance team in New York and have the following primary responsibilities:
- Cover GSAM's Equity businesses, serving as a key liaison and advisor to the business on all Compliance matters alongside Compliance colleague.
- Analyze regulations in the context of equity products and strategies and develop and implement controls designed to achieve adherence to the regulation.
- Develop and maintain policies and procedures and train business personnel
- Conduct surveillances and forensics on portfolio management behavior, including with respect to conflicts of interest, market manipulation, and other risk.
- Review marketing materials relating to the products and services offered by the business
- Assist with regulatory and internal exams, as needed
- Manage and complete ad-hoc and long-term projects as required
From an advisory perspective, the officer will work closely with business partners and Compliance colleagues in connection with new offerings, compliance reviews, vetting of client guidelines, review and evaluation of new equity instruments and products, and the development of enhanced surveillance tools
- 6+ years of relevant work experience. Asset management compliance experience preferred.
- General compliance knowledge and familiarity with SEC regulations, Investment Advisers Act, Investment Company Act, ERISA and FINRA rules preferred.Knowledge of financial industry with a focus on equity and equity-linked markets and products.
- Risk and control focused individual with excellent judgment and strong analytical and risk assessment skills
- Ability to communicate effectively with management (concise verbal and written communication skills)
- Excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
- Self-starter, works independently, and proactively follows-up. Strong sense of urgency.
- Ability to multi-task and meet multiple deadlines. Organized and attentive to detail.
- Experience working as part of a global team preferred
- Bachelor's degree
- Advanced degree in law or asset management preferred
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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
See Inside the Office of 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.
Back to top