Compliance, Asset Management Division Compliance, Vice President

Location(s) US-NY-New York
Job ID
2021-76162
Schedule Type
Full Time
Level
Vice President
Function(s)
Compliance
Region
Americas
Division
Compliance
Business Unit
Asset Management Compliance
Employment Type
Employee

MORE ABOUT THIS JOB

Global Compliance

 


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. 

RESPONSIBILITIES AND QUALIFICATIONS

The role of an Asset Management Division (“AMD”) Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within AMD by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses.

 

Divisional Compliance provides daily advice to the business units on investing and lending activities, fundraising, Investment Adviser Act and other regulatory requirements, and reputational risk, while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.

 


Responsibilities

  • Cover AMD personnel and provide advice on how to conduct the firm’s business in a manner that complies with the vast array of applicable rules, regulations and regulatory expectations
  • Develop, draft and maintain compliance policies and procedures outlining firm requirements, regulations and best practices
  • Create and implement compliance training programs
  • Review and advise on product marketing materials
  • Perform look-back reviews, oversight and surveillances to assess compliance risks and breaches
  • Assist with regulatory examinations, audits and inquiries
  • Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
  • Coordinate with the business, Legal, Technology and other divisions across the firm on new initiatives

Qualifications

  • Bachelor’s Degree, JD or MBA
  • 4 - 6 years Compliance, Legal, Regulatory or Financial Services industry experience
  • Excellent communications skills (oral and written)
  • Ability to handle multiple tasks simultaneously and work under pressure

ABOUT GOLDMAN SACHS

Goldman Sachs is a meritocracy where you will be given all the tools to help you develop. At Goldman Sachs, you will have access to excellent training programs designed to improve multiple facets of your skills portfolio. Our in-house training program, ‘Goldman Sachs University’ offers a comprehensive series of courses that you will have access to as your career progresses. Goldman Sachs University has an impressive catalogue of courses which span technical, business and leadership skills training.

 

We value internal mobility. The chance to take on new challenges in the firm over time will ensure that you remain stimulated and will help in your continued professional and personal development.

 

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., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity