WHO WE ARE
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions,ernments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Dublin, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.
BUSINESS UNIT AND ROLE OVERVIEW
This is a role on the Asset Management ("AM")pliance Advisory team helping to providepliance advisory services covering portfolio management, trading, sales and marketing activity within Goldman Sachs Asset Management International ("GSAM") based in London, where GSAM is part of the broader Asset Management business. The successful candidate will work with business partners, Legal andpliance colleagues in connection with helping to respond to regulatory requests, respond topliance queries from the business, upliftpliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business inpliance matters, participate in policy updates and drafting, conduct marketing material sign off, and advise on sales activity. The role will also be responsible for maintaining and developing AM's ESG/Sustainabilitypliance program.
EXPERIENCE
1. Ability to work as part of a team as well as act as project lead on variouspliance matters
2. Good familiarity with various aspects of Asset Managementpliance
3. Representedpliance on projects such as new activities, new products or regulatory reform
4. Understanding ofpliance programs and development and implementation of those programmes
5. Production of materials and presentation of those to senior firmmittees and/or board
6. Ability to deal with business personnel and deliver goodpliance oues in time constrained situations.
RESPONSIBILITIES
7. Provide ESG/Sustainabilityernance, policy development and implementation second line support
8. Develop deep understanding of the EU SFDR regulation and other ESG/Sustainability regulations.
9. Providepliance support and representation on Asset Management strategic initiatives
10. Provide dailypliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
11. Assistance in the production of board reports of for the Head of EMEA AMpliance
12. Participate in the review and evaluation of new instruments and vehicles to identifypliance issues and surveillance needs
13. Develop and draftpliance policies and procedures, outlining firm policies, regulations and best practices
14. Ensure breaches andplaints are logged and cover thepliance aspect of the sign off
15. Createpliance training programs Performing tasks relating to marketing, distribution and third-party distributor due diligence
16. Review and approval of due diligence on third party distributors
17. Preparation, organisation and delivery ofpliance trainings
18. Miscellaneous projects as required
QUALIFICATIONS
19. 3 yearspliance experience, (asset management experience preferred, but not essential)
20. Risk and control focused individual with excellent judgment
21. Knowledge of investment instruments including derivatives
22. Knowledge of international and regional standards, taxonomies and regulatory initiatives relevant to sustainable finance including EU Taxonomy/SFDR/SDR
23. Generalpliance knowledge and familiarity with FCA regulations, MiFID, UCITS and AIFM Directives. Knowledge of CSSF, CBI, BaFin, SEC, Investment Adviser's Act, Investmentpany Act, ERISA is helpful but not required.
24. Effective analytical and organizational skills
25. Strong verbal and writtenmunication skills
26. Ability to handle multiple tasks with attention to detail and work under pressure
27. Ability to work both independently and as part of a team
28. Graduate equivalent education (Preferred)
ABOUT GOLDMAN SACHS
At Goldman Sachs, wemit our people, capital and ideas to help our clients, shareholders and themunities 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'remitted 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/careers.
We'remitted to finding reasonable amodations for candidates with special needs or disabilities during our recruiting process. Learn more: //goldmansachs/careers/footer/
© The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
Job ID 300007361967471