Compliance, GSAM Compliance, Vice President, 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.
RESPONSIBILITIES AND QUALIFICATIONS
As part of the AIMS Compliance team, the primary responsibilities of the Associate/Vice President will include:
Provide advisory support to the business on a daily basis
Conduct initial and ongoing due diligence assessments on third-party manager compliance programs
Review marketing materials that are used to pitch AIMS products and services to clients
Perform forensic reviews
Deliver compliance trainings
Conduct conflict and trade pre-clearance checks
The individual will interact with different business lines and control functions, including Operational Diligence, Operations, IT, Legal and Controllers.
- J.D. considered but not required
- Three to five years of relevant experience
- Strong sense of urgency
- Good understanding of alternative investments, asset management, and corresponding governing regulations
- 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
- 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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