Global Compliance - Asset Management - Analyst - London

IIBA (International Institute of Business Analysis); London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading international organization seeks a Compliance Advisory professional in London. This role involves providing compliance advisory services, supporting regulatory projects, and developing compliance policies. Ideal candidates are proactive team players with a strong interest in financial markets and asset management.

Qualifications

• Demonstrated interest in financial markets and asset management.
• Critical thinker with strong analytical and organizational skills.
• Proactive team player with effective interpersonal skills.

Responsibilities

• Support day-to-day compliance advisory work with AM Private.
• Review and comment on marketing materials.
• Prepare and deliver training to AM Private personnel.

Skills

Analytical skills

Organizational skills

Communication

Team player

Job description

OUR IMPACT
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.

YOUR IMPACT
This is a role on the Compliance Advisory team, providing compliance advisory services to teams engaged in credit and equity investing, fundraising and marketing, and product development and distribution within the alternative investments platform ("AM Private") within Goldman Sachs Asset Management International ("GSAM"), based in London, where GSAM is part of Asset & Wealth Management.
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.

RESPONSIBILITIES

• Support on day-to-day Compliance advisory work with AM Private, including both policy-related topics and in connection with investing and asset management activities
• Reviewing and commenting on marketing materials
• Compliance support and representation on AM Private and broader strategic initiatives
• Participate in regulatory identification and implementation projects
• Develop and implement compliance policies and procedures, outlining firm policies, regulations and best practices
• Support the forensic programme, including engaging in ad hoc and programmatic reviews, escalating and logging findings, prepare policy reminders
• Preparing and delivering training to AM Private personnel
• Assisting in responding to regulatory inquiries and investigations
• Miscellaneous projects as required

REQUIREMENTS

• 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

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. We're 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 GS.com/careers.

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

 The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity