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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.
BUSINESS UNIT AND ROLE OVERVIEW
This role is on the compliance advisory team helping to provide compliance advisory services covering portfolio management, trading, sales and marketing acivity within Goldman Sachs Asset Management International based in London. The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping in all aspects of advisory compliance with a significant focus on marketing material review. The role will also involve respond ing to regulatory requests and compliance queries f ro m the business, performing surveillance and forensic reviews, training the business in compliance matters , policy writing and advising on sales activity.
RESPONSIBILITIES AND QUALIFICATIONS RESPONSIBILITIES
Provide daily compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures.
Provide daily compliance surveillance of GSAM employees Personal trading activity.
Compliance monitoring of any aspects of FCA regulations as part of general monitoring or forensic review work.
Review post trade exceptions for investment violations (familiarity with Sentinel Guideline system)
Ensure breaches and complaints are logged and cover the compliance aspect of the sign off
Assistance in the production of board reports of for the Head of EMEA Compliance
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
Create compliance training programs
Performing tasks relating to marketing, distribution and third-party distributor due diligence.
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
3-5 years compliance experience, preferably in asset management
-Risk and control focused individual with excellent judgment
Knowledge of investment instruments including derivatives
General compliance knowledge and familiarity with FCA regulations, MiFID, UCITS and AIFM Directives. Knowledge of CSSF, CBI,SEC, Investment Adviser's Act, Investment Company Act, ERISA is helpful but not required.
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
Graduate equivalent education
ABOUT GOLDMAN SACHS 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