Globalpliance - Asset Management - Vice President - LondonOUR IMPACT
Our division prevents, detects and mitigatespliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture ofpliance.pliance aplishes these through the firm's enterprise-widepliance risk management program. As an independent control function and part of the firm's second line of defense,pliance assesses the firm'spliance, regulatory and reputational risk; monitors forpliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors forpliance 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.
YOUR IMPACT
This is a Team Manager role with a primary focus on strategic uplifts within the AMpliance program. The role will include leading a team, and collaborating with the broader AMpliance team, to enhance aspects of thepliance program, implementing new regulations and representingpliance in supporting new business initiatives. In addition, the role's primary function, other areas of responsibilities include providingpliance advisory services covering portfolio management, trading, sales and marketing activity within Goldman Sachs Asset Management International ("GSAM") based in London, where GSAM is part of Asset Management ("AM").
The successful candidate will work with business partners, Legal andpliance colleagues in connection with helping to respond to regulatory requests, respond topliance queries from the business, upliftpliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business inpliance matters, participate in policy updates and drafting, conduct marketing material sign off, and advise on sales activity.
You will need the following:
1. Ability to work as part of a team ofpliance professionals as well as lead on variouspliance matters and projects
2. Good familiarity with all aspects of Asset Managementpliance
3. Representpliance on projects such as new activities, new products or regulatory reform
4. Understanding ofpliance programs and development and implementation of those programmes
5. Production of materials and presentation of those to senior firmmittees and/or board
6. Ability to deal with senior business personnel and deliver goodpliance oues in time constrained situations
RESPONSIBILITIES
7. Prepare, organise and deliverpliance trainings
8. Participate in the review and evaluation of new instruments and vehicles to identifypliance issues and surveillance needs
9. Lead and manage strategicpliance projects, includingpliance enhancement, business initiatives and regulatory reform
10. Participate inpliance working groups for firm strategic initiatives
11. Develop and draftpliance policies and procedures, outlining firm policies, regulations and best practices
12. Miscellaneous projects as required
REQUIREMENTS
13. 5+ yearspliance experience in asset management
14. Risk and control focused individual with excellent judgment
15. Knowledge of investment instruments including derivatives
16. Generalpliance knowledge and familiarity with FCA regulations, MiFID, UCITS and AIFM Directives, ELTIF regulation. Knowledge of CSSF, CBI, BaFin, SEC, Investment Adviser's Act, Investmentpany Act, ERISA is helpful but not required.
17. Effective analytical and organizational skills
18. Strong verbal and writtenmunication skills
19. Ability to handle multiple tasks with attention to detail and work under pressure
20. Ability to work both independently and as part of a team
21. Graduate equivalent education (Preferred)
ABOUT GOLDMAN SACHS
At Goldman Sachs, wemit our people, capital and ideas to help our clients, shareholders and themunities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We'remitted to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS/careers.
We'remitted to finding reasonable amodations for candidates with special needs or disabilities during our recruiting process. Learn more: //goldmansachs/careers/footer/
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Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
Job ID 300006953962758