Compliance, Asset Management Compliance, Analyst, Birmingham

OUR IMPACT

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and asset management services to a substantial and diversified client base that includes corporations, financial institutions, governments 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.

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.

YOUR IMPACT 

This is a role on the Asset Management Compliance team based in Birmingham. The successful candidate will provide Compliance advisory services covering sales and marketing activities within Goldman Sachs Asset Management (“GS AM”). The role will predominately involve reviewing marketing collateral to ensure conformity to financial promotion regulations and jurisdiction restrictions.  Additionally, the successful candidate will work with business partners, Legal and Compliance colleagues to manage sales and marketing regulatory requests, enhance the compliance program in line with regulatory reforms, conduct surveillance and forensic reviews, deliver compliance trainings, and assist in drafting and updating compliance policies.

RESPONSIBILITIES

• Review and approval of financial promotions
• Support the forensic program, including engaging in ad hoc and programmatic reviews, escalating and logging findings, prepare policy reminders 
• Compliance support and representation on strategic initiatives 
• Participate in regulatory identification and implementation projects 
• Develop and implement Compliance policies and procedures, outlining firm policies, regulations and best practices
• Preparing and delivering Compliance training 
• Assisting in responding to regulatory inquiries and investigations 
• Miscellaneous projects as required

SKILLS/EXPERIENCE

• Demonstrated interest in financial markets, asset management and managing conduct risk
• A critical thinker with strong analytical, organizational, researching and fact-gathering skills
• A highly motivated self-starter, who learns quickly and works well under pressure 
• Able to effectively summarize, communicate and defend positions
• A proactive team player, who enjoys working collaboratively across teams and disciplines
• Possess effective interpersonal and communication skills; the candidate should be outgoing, communicative, persuasive and courteous
   

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. 

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., 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.