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.
This position sits in divisional compliance with Goldman Sachs Asset Management (GSAM) Compliance. As one of the world’s leading asset managers, GSAM delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. GSAM’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. GSAM serves a diverse range of clients – individuals, advisors and institutions – who rely on GSAM to help them understand markets, deliver innovative investment solutions and plan for their future.
We are seeking a mid to senior level professional to join the Fixed Income Compliance Team within GSAM Compliance in New York City. The individual will be part of a larger Fixed Income Compliance coverage team that supports all aspects of Compliance for the Fixed Income portfolio management function within GSAM. The primary responsibilities will be coverage of Fixed Income marketing materials, developing policies and procedures, and providing training and ad hoc advice to portfolio management personnel. Other responsibilities may include reviewing and assessing new products, reviewing surveillance results, and general compliance support for the GSAM business.
The individual will interact with different business lines and control functions, including Portfolio Management, Product Development, Sales, Operations, IT, Legal and Controllers.
The ideal candidate will have a good understanding of Investment Adviser rules and regulations and familiarity with fixed income products. He or she will be risk focused, have excellent judgment, excellent written and oral communication skills, strong organizational and project management skills, and will have the ability to work in a very fast paced environment.
mpliance professionals with Investment Adviser experience a plus.
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