Compliance - GSAM Compliance - Analyst - Bengaluru

  • Competitive
  • Bangalore, Karnataka, India Bangalore Karnataka IN
  • Permanent, Full time
  • Goldman Sachs International
  • 19 Jul 18 2018-07-19

Compliance - GSAM Compliance - Analyst - Bengaluru

MORE ABOUT THIS JOB
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. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

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.

RESPONSIBILITIES AND QUALIFICATIONS
JOB RESPONSIBILITIES

Review and approval of financial promotions. Products include pooled vehicles, hedge funds, sub-advised products, separately managed accounts, private equity fund of funds, and hedge fund of funds
Conduct surveillance and testing work to ensure GSAM's sales process remains robust
Undertake compliance training of the marketing and distribution teams in GSAM
Work alongside the business and Legal to conduct due diligence of third party distributors and private equity and hedge fund managers
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
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

1-4 years compliance experience, preferably in asset management
Knowledge of financial instruments and relevant regulations
General compliance knowledge and familiarity with regulatory issues relating to asset managers
Risk and control focused individual with excellent judgment
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
Strong analytical and organizational skills
Effective verbal and written communication skills
Ability to handle multiple tasks with attention to detail and work under pressure
Self-starter with the ability to work effectively with minimal supervision.
Strong proficiency in Microsoft Excel and Word plus
Attention to detail
Ability to work both independently and as part of a team

PREFERRED QUALIFICATIONS

Graduate equivalent education
Previous compliance /risk management experience a plus

ABOUT GOLDMAN SACHS
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.