Bulge Bracket Investment Banks
Posted 5 days ago
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**Compliance, Asset Wealth Management Compliance Analyst, Birmingham** Provide Compliance support on AWM strategic initiatives across EMEA. Review and approve financial promotion materials. Perform daily surveillance on GSAM portfolios and assist in regulatory compliance monitoring. Draft Compliance policies and procedures. Create and deliver Compliance training programs. Miscellaneous projects as required. Requirements: - 2+ years Compliance experience (asset management preferred) - Knowledge of FCA regulations, MiFID, UCITS and AIFM directives - Familiarity with core aspects of Asset Management Compliance - Excellent judgment, analytical, and problem-solving skills - Strong verbal and written communication skills - Ability to work independently and as part of a team under pressure - Graduate equivalent education (Preferred)
- Compensation
- Not specified
- City
- Birmingham
- Country
- United Kingdom
Currency: Not specified
Full Job Description
Compliance, Asset Wealth Management Compliance, Analyst, BirminghamBirmingham, West Midlands, England, United Kingdom
Opportunity Overview
CORPORATE TITLEAnalyst
OFFICE LOCATION(S)Birmingham
JOB FUNCTIONBusiness Unit Compliance
DIVISIONCompliance Division
OUR IMPACT
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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.
YOUR IMPACT
This is a role on the Asset Wealth Management (AWM) Compliance Advisory team helping to provide Compliance advisory services covering Management Company and AIFM activities within Goldman Sachs Asset Management. The role is based in our Birmingham office, and the successful candidate will work with colleagues across EMEA (London, Dublin, The Hague) including business partners, Legal and Compliance colleagues in connection with helping to respond to regulatory requests, respond to queries from the business, uplift the Compliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business in Compliance matters, and participate in policy updates and drafting.
EXPERIENCE
- Ability to work as part of a team on various Compliance matters
- Good familiarity with core aspects of Asset Management Compliance
- Ability to represent Compliance on projects such as new activities, new products or regulatory reform
- Understanding of Compliance programs and development and implementation of those programmes
- Assist with the production of materials to senior firm committees
- Ability to communicate effectively with business personnel and deliver good Compliance outcomes in time-constrained situations.
RESPONSIBILTIES
- Provide Compliance support and representation on AWM strategic initiatives across EMEA
- Review and approval of financial promotion materials
- Provide daily Compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
- Compliance monitoring of any aspects of regulations as part of general monitoring or forensic review work
- Assistance in the production of board and governance reports
- Participate in the review and evaluation of new instruments and vehicles to identify Compliance issues and surveillance needs
- Develop and draft Compliance policies and procedures, outlining firm policies, regulations and best practices
- Ensure breaches and complaints are logged and cover the compliance aspect of the sign off
- Create Compliance training programs covering elements including
- Performing tasks relating to marketing, distribution and third-party distributor due diligence
- Compliance advisory regarding global asset management marketing and distribution questions: UCITS/Non-UCITS/cross border distribution
- Review and approval of due diligence on third party distributors
- Compliance advisory on new GSAM fund launch projects
- Preparation, organisation and delivery of Compliance trainings
- Miscellaneous projects as required
QUALIFICATIONS
- 2+ years Compliance experience, (asset management experience preferred, but not essential)
- Highly motivated risk and control focused individual with excellent judgment
- General Compliance knowledge and familiarity with FCA regulations, MiFID, UCITS and AIFM Directives.
- Knowledge of AFM, CBI or CSSF rules is helpful but not. essential
- Effective analytical, problem solving and organizational skills
- Strong verbal and written communication skills
- Ability to handle multiple tasks with attention to detail and work under pressure
- Ability to work both independently and as part of a team
- Graduate equivalent education (Preferred)
ABOUT GOLDMAN SACHS
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities 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'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.
Were 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., 2023. All rights reserved.
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 Offer Best-In-Class Benefits
Healthcare & Medical Insurance
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.
Holiday & Vacation Policies
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.
Financial Wellness & Retirement
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees priorities.
Health Services
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.
Fitness
To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).
Child Care & Family Care
We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.
Benefits at Goldman Sachs
Read more about the full suite of class-leading benefits our firm has to offer.
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