Compliance, Asset Management Compliance, Associate, Dublin
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Posted on:
Yesterday
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1 Vacancy
Job Summary
Description
OUR IMPACT
Our division prevents detects and mitigates compliance regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense Compliance assesses the firms 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 firms responses to regulatory examinations audits and inquiries. Youll 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 role on the Asset Wealth Management(AWM) Compliance Advisory team helping to provide compliance advisory services covering portfolio management trading sales and marketing activity within Goldman Sachs Asset Management (GSAM) and based in Dublin. The successful candidate will work with business partners Legal and Compliance colleagues in connection with helping to respond to regulatory requests respond to compliance queries from the business uplift compliance program in response to regulatory reform perform surveillance and forensic reviews train the business in compliance matters participate in policy updates and drafting conduct marketing material sign off and advise on sales activity.
This is a role on the Asset Wealth Management(AWM) Compliance Advisory team helping to provide compliance advisory services covering portfolio management trading sales and marketing activity within Goldman Sachs Asset Management (GSAM) and based in Dublin. The successful candidate will work with business partners Legal and Compliance colleagues in connection with helping to respond to regulatory requests respond to compliance queries from the business uplift compliance program in response to regulatory reform perform surveillance and forensic reviews train the business in compliance matters participate in policy updates and drafting conduct marketing material sign off and advise on sales activity.
EXPERIENCE
- Ability to work as part of a global team as well as act as project lead on various compliance matters
- Familiar with the risk and compliance function of asset management
- Understanding the development and implementation of compliance programs
- Ability to deal with business personnel and deliver good compliance outcomes in time constrained situations
RESPONSIBILITIES
- Provide Compliance support and representation on AWM strategic initiatives
- Review and approval of financial promotion materials
- Provide daily compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
- Assistance in the production of board reports
- Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
- Develop and draft compliance policies and procedures outlining firm policies regulations and best practices
- Ensure breaches and complaints are logged and cover the compliance aspect of the sign off
- Create compliance training programs
- Compliance advisory regarding global asset management marketing and distribution questions: UCITS/Non-UCITS/cross border distribution
- Review and approval of due diligence on third party distributors
- Compliance advisory on new GSAM fund launch projects
- Preparation organisation and delivery of compliance trainings
- Miscellaneous projects as required
QUALIFICATIONS
- 3 years regulatory risk or compliance experience (asset management experience preferred)
- Highly motivated risk and control focused individual with excellent judgment
- Knowledge of investment instruments including derivatives
- General compliance knowledge and familiarity with CBI and FCA regulations MiFID UCITS AIFMD and SFDR
- Effective analytical and organizational skills
- Strong verbal and written communication skills
- Ability to handle multiple tasks with attention to detail and work under pressure
- Ability to work both independently and as part of a team
ABOUT GOLDMAN SACHS
At Goldman Sachs we commit our people capital and ideas to help our clients shareholders and the communities 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. Were committed 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
Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:
The Goldman Sachs Group Inc. 2023. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race color religion sex national origin age veterans status disability or any other characteristic protected by applicable law.
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About Company
The Goldman Sachs Group, Inc. is a leading global investment banking, securities, and asset and wealth management firm that provides a wide range of financial services.
