Compliance, Asset Management Compliance - Marketing Materials Review, Vice Presi
Goldman Sachs Group, Inc., New York, New York, us, 10261
Compliance, Asset Management Compliance - Marketing Materials Review, Vice President, New York
New York, New York, United States
Job Description 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.
Job Description
This position sits in divisional compliance and is focused on Goldman Sachs Asset Management (“AM”). AM 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. AM’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AM serves a diverse range of clients – individuals, financial advisors, and institutions – who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future.
AM Compliance is seeking a compliance VP to join the US AM Compliance team. AM Compliance provides daily advice to AM’s various business teams on portfolio management, investing and lending activities, fundraising, the Investment Advisers Act, Investment Company Act, reputational risk, and other various regulatory requirements. The individual will interact with different business lines and control functions, including AM’s Marketing, Sales, Portfolio Management teams, Finance, Operations, Engineering, Legal, and Internal Audit. The ideal candidate will have a strong interest in understanding AM’s business model and operational processes.
Responsibilities
Understanding of the Advisers Act and FINRA advertising regulations
Coordinate among broader AM Compliance team and set strategy for review of marketing materials used to pitch AM’s product and services, including website and social media content, due diligence responses, and advertisements
Assess current and prospective regulatory risk through industry interaction and research
Provide compliance oversight and support for AM personnel and provide advice on how to conduct AM’s business in a manner that complies with the vast array of applicable rules, regulations, and regulatory expectations
Analyze and stay current on global rules and regulations applicable to the sale of AM products in the US and abroad
Work with regional compliance, legal, and business teams on cross-border marketing initiatives and provide guidance on regulatory requirements
Develop, draft, and maintain compliance policies and procedures outlining firm requirements, jurisdictional requirements, regulations, and best practices
Create and deliver compliance trainings
Coordinate with the business and other internal stakeholders to assist with new business initiatives and regulatory requirements
Perform testing, including the review of surveillances and conducting forensic reviews to assess compliance risks and identify potential breaches
Assist with regulatory examinations, audits and inquiries
Qualifications
Bachelor’s Degree, JD or MBA
4-8 years of Compliance, Legal, Regulatory or Financial Services industry experience
Excellent project management skills, communications skills (oral and written), judgment, and organizational skills
Ability to handle multiple tasks simultaneously and work in a fast-paced environment
Equal Employment Opportunity Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:
Disability Statement
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Job Description 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.
Job Description
This position sits in divisional compliance and is focused on Goldman Sachs Asset Management (“AM”). AM 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. AM’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AM serves a diverse range of clients – individuals, financial advisors, and institutions – who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future.
AM Compliance is seeking a compliance VP to join the US AM Compliance team. AM Compliance provides daily advice to AM’s various business teams on portfolio management, investing and lending activities, fundraising, the Investment Advisers Act, Investment Company Act, reputational risk, and other various regulatory requirements. The individual will interact with different business lines and control functions, including AM’s Marketing, Sales, Portfolio Management teams, Finance, Operations, Engineering, Legal, and Internal Audit. The ideal candidate will have a strong interest in understanding AM’s business model and operational processes.
Responsibilities
Understanding of the Advisers Act and FINRA advertising regulations
Coordinate among broader AM Compliance team and set strategy for review of marketing materials used to pitch AM’s product and services, including website and social media content, due diligence responses, and advertisements
Assess current and prospective regulatory risk through industry interaction and research
Provide compliance oversight and support for AM personnel and provide advice on how to conduct AM’s business in a manner that complies with the vast array of applicable rules, regulations, and regulatory expectations
Analyze and stay current on global rules and regulations applicable to the sale of AM products in the US and abroad
Work with regional compliance, legal, and business teams on cross-border marketing initiatives and provide guidance on regulatory requirements
Develop, draft, and maintain compliance policies and procedures outlining firm requirements, jurisdictional requirements, regulations, and best practices
Create and deliver compliance trainings
Coordinate with the business and other internal stakeholders to assist with new business initiatives and regulatory requirements
Perform testing, including the review of surveillances and conducting forensic reviews to assess compliance risks and identify potential breaches
Assist with regulatory examinations, audits and inquiries
Qualifications
Bachelor’s Degree, JD or MBA
4-8 years of Compliance, Legal, Regulatory or Financial Services industry experience
Excellent project management skills, communications skills (oral and written), judgment, and organizational skills
Ability to handle multiple tasks simultaneously and work in a fast-paced environment
Equal Employment Opportunity Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:
Disability Statement
#J-18808-Ljbffr