Asset Management Compliance Associate, London

  • Competative
  • London, England, United Kingdom
  • Permanent, Full time
  • Goldman Sachs International
  • 13 Sep 16

This role is on the portfolio management/trading Compliance team helping to provide compliance surveillance and advisory services within Goldman Sachs Asset Management International based in London. The successful candidate will work with business partners, Legal and Compliance colleagues in connection with client and prospective client due diligence, new offering compliance reviews, review and evaluation of new Instruments, and the development of enhanced surveillance tools.

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, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.

 

BUSINESS UNIT AND ROLE OVERVIEW

This role is on the portfolio management/trading Compliance team helping to provide compliance surveillance and advisory services within Goldman Sachs Asset Management International based in London.

The successful candidate will work with business partners, Legal and Compliance colleagues in connection with client and prospective client due diligence, new offering compliance reviews, review and evaluation of new Instruments, and the development of enhanced surveillance tools.

 

RESPONSIBILITIES

As part of the team:

- Provide daily compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures 

- Provide daily compliance surveillance of GSAM employees Personal trading activity

- Compliance monitoring of any aspects of FCA regulations as part of general monitoring or forensic review work 

- Review post trade exceptions for investment violations (familiarity with Sentinel Guideline system)

- Ensure breaches and complaints are logged and cover the compliance aspect of the sign off

- Assistance in the production of board reports of for the Head of EMEA Compliance

- 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

- Create compliance training programs

- Miscellaneous projects as required

 

BASIC QUALIFICATIONS 

- 3-5 years compliance experience, preferably in asset management

- Risk and control focused individual with excellent judgment

- Knowledge of investment instruments including derivatives

- General compliance knowledge and familiarity with FCA regulations, MiFID, UCITS and AIFM Directives. Any knowledge of SEC regulation, Investment Adviser's Act, Investment Company Act, ERISA is helpful but not required

- Effective analytical 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 

Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2016. All rights reserved.