Compliance, Asset Management Compliance, Vice President

Location(s) US-NY-New York
Job ID
2021-86257
Schedule Type
Full Time
Level
Vice President
Function(s)
General
Region
Americas
Division
Compliance
Business Unit
Asset Management Compliance
Employment Type
Employee

MORE ABOUT THIS JOB

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

JOB DESCRIPTION

 

This position sits in divisional compliance with Asset Management (AM) Compliance. As one of the world’s leading asset managers, Goldman Sachs Asset Management 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. Our clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals.  The Asset Management Division serves a diverse range of clients – individuals, advisors and institutions – who rely on us 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 AM 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 the Asset Management Division. The primary responsibilities will include coverage of the Fixed Income investment teams by providing real-time trading guidance, rule interpretation, reviewing surveillance results, testing for adherence to firm policies and the development and maintenance of policies & procedures.  Additional responsibilities may include the review of marketing materials, including daily oversight of the marketing material review function, providing training and ad hoc advice to portfolio management personnel, 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, Engineering, Legal and Controllers.

 

The ideal candidate will have a good understanding of the regulations applicable to Investment Advisers, marketing material 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. Attorneys with in-house and/or law firm experience with document review and Investment Adviser experience a plus. 

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