Compliance, Asset and Wealth Management, Private Alternatives Compliance, Associate/Vice President, London

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Compliance, Asset and Wealth Management, Private Alternatives Compliance, Associate/Vice President, London

senior · Risk & Compliance

OUR IMPACT
 
The Goldman Sachs Group, Inc. is a leading global financial services firm delivering investment banking, securities, asset management and wealth management services to a substantial and diversified global client base, including corporations, financial institutions, governments and high-net-worth individuals. Headquartered in New York, the firm operates across major financial centres including London, Dublin, Frankfurt, Tokyo and Hong Kong.

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 role sits within the Asset & Wealth Management Compliance Advisory team in London, supporting Goldman Sachs Asset Management International (“GSAMI”), part of the broader Asset & Wealth Management (“AWM”) business. The successful candidate will work closely with business partners and Legal and Compliance colleagues to provide practical, risk-based compliance advice across alternatives investing, portfolio management and marketing activity. The role offers exposure to a broad range of high-impact matters, including business advisory queries, regulatory requests, regulatory reform implementation, forensic reviews, business training, policy development, marketing material review and sales activity advisory.

EXPERIENCE

• Proven ability to work collaboratively within a team while confidently leading projects across a range of compliance matters
• Strong working knowledge of asset management compliance, with the ability to apply regulatory requirements to practical business scenarios
• Experience representing Compliance on strategic initiatives, including new activities, new products and regulatory reform projects
• Understanding of compliance programmes, including the design, enhancement and implementation of effective controls and governance frameworks
• Ability to produce clear, insightful materials and present effectively to senior firm committees and/or boards
• Sound judgment and confidence engaging with business stakeholders to deliver timely, risk-based compliance outcomes in time-constrained situations
• Ability to handle multiple tasks with attention to detail and work under pressure
• Compliance advisory on alternatives investing activity and associated governance requirements
• Compliance advisory regarding global asset management marketing and distribution questions, including review of marketing materials 
• Compliance advisory on new AM fund launch projects
• Prepare, organise and deliver compliance training
• Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
• Lead and manage strategic Compliance projects, including compliance enhancements, business initiatives and regulatory reform
• Participate in compliance working groups for firm strategic initiatives
• Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
• Conduct compliance monitoring and forensic reviews to assess adherence to regulatory obligations, internal policies and control expectations
• Contribute to additional projects and priorities as required in a dynamic, fast-paced compliance environment
• 5+ years of compliance experience; asset management experience preferred
• Risk- and control-focused mindset, with excellent judgment and the ability to balance commercial priorities with regulatory expectations
• Knowledge of investment instruments including alternative investment funds, and an interest in applying that knowledge in a compliance advisory context
• General compliance knowledge and familiarity with FCA regulations, MiFID and AIFM requirements
• Excellent analytical, communication and stakeholder-management skills, with strong attention to detail and a proactive, collaborative approach

RESPONSIBILITIES

• Compliance advisory on alternatives investing activity and associated governance requirements
• Compliance advisory regarding global asset management marketing and distribution questions, including review of marketing materials 
• Compliance advisory on new AM fund launch projects
• Prepare, organise and deliver compliance training
• Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
• Lead and manage strategic Compliance projects, including compliance enhancements, business initiatives and regulatory reform
• Participate in compliance working groups for firm strategic initiatives
• Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
• Conduct compliance monitoring and forensic reviews to assess adherence to regulatory obligations, internal policies and control expectations
• Contribute to additional projects and priorities as required in a dynamic, fast-paced compliance environment 

QUALIFICATIONS

• 5+ years of compliance experience; asset management experience preferred
• Risk- and control-focused mindset, with excellent judgment and the ability to balance commercial priorities with regulatory expectations
• Knowledge of investment instruments including alternative investment funds, and an interest in applying that knowledge in a compliance advisory context
• General compliance knowledge and familiarity with FCA regulations, MiFID and AIFM requirements

• Excellent analytical, communication and stakeholder-management skills, with strong attention to detail and a proactive, collaborative approach