Compliance, GSAM Compliance, Vice President, New York


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 Asset Management Compliance is seeking a mid-level professional to join the Fixed Income Compliance Team within GSAM Compliance. The individual will be part of a larger fixed income compliance coverage team that supports all aspects of Compliance for the Fixed Income portfolio management function within GSAM. The primary responsibility will be coverage of CFTC regulatory matters , including performing risk assessments, 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. Other responsibilities 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 ideal candidate will have a good understanding of CFTC rules and regulations and of the markets and products governed by those regulations in the buy side context. He or she will be risk focused; 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. Minimum 5 years of relevant experience required, ideally in a legal or compliance role at an asset management firm.


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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