Asset Management Compliance Advisor UK - Birmingham

Goldman Sachs Bank AG; Birmingham; On-site; GBP 50,000 - 75,000; Full time

Job summary

Goldman Sachs in Birmingham is seeking an Asset Management Compliance adviser to provide advisory services for sales and marketing activities, focusing on reviewing financial promotions for regulatory conformity and jurisdiction restrictions.

You will work with Legal and Compliance colleagues to manage regulatory requests, strengthen the compliance program amid reforms, conduct surveillance and forensic reviews, deliver trainings and help draft and update policies across the firm.

Qualifications

• Demonstrated interest in financial markets, asset management and managing conduct risk.
• A critical thinker with strong analytical, organizational, researching and fact-gathering skills.
• A highly motivated self-starter, who learns quickly and works well under pressure.
• Able to effectively summarize, communicate and defend positions.
• A proactive team player, who enjoys working collaboratively across teams and disciplines.
• Possess effective interpersonal and communication skills; the candidate should be outgoing, communicative, persuasive and courteous.

Responsibilities

• Review and approval of financial promotions
• Support the forensic program, including engaging in ad hoc and programmatic reviews, escalating and logging findings, prepare policy reminders
• Compliance support and representation on strategic initiatives
• Participate in regulatory identification and implementation projects
• Develop and implement Compliance policies and procedures, outlining firm policies, regulations and best practices
• Preparing and delivering Compliance training
• Assisting in responding to regulatory inquiries and investigations
• Miscellaneous projects as required

Skills

Interest in financial markets

Analytical thinking

Self-starter under pressure

Summarize and defend positions

Team player

Interpersonal communication

Job description

Goldman Sachs in Birmingham is seeking an Asset Management Compliance adviser to provide advisory services for sales and marketing activities, focusing on reviewing financial promotions for regulatory conformity and jurisdiction restrictions.

You will work with Legal and Compliance colleagues to manage regulatory requests, strengthen the compliance program amid reforms, conduct surveillance and forensic reviews, deliver trainings and help draft and update policies across the firm.