GSAM Compliance Officer, Analyst, Warsaw
MORE ABOUT THIS JOB 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
BUSINESS UNIT AND ROLE OVERVIEW
This role is on the compliance advisory team helping to provide compliance advisory services covering portfolio management, trading, sales and marketing activity of Goldman Sachs Asset Management, with coverage provided from Warsaw. The successful candidate will work with business partners, Legal and Compliance colleagues across EMEA in connection with helping to respond to regulatory requests, responding to compliance queries form the business, performing surveillance and forensic reviews, training the business in compliance matters, policy writing, marketing material sign off and advising on sales activity. RESPONSIBILITIES
As part of the team:
- Review marketing materials and other relevant documents relating to the distribution of mutual funds and selling investment strategies across the region
- 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
- Produce management information and reporting for updating related GSAM EMEA legal entities
- Assistance in the production of board reports of for the Head of EMEA Compliance
- Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
- Create compliance training programs Basic Qualifications
- Graduates or those with 2-3 years Compliance experience,
- Knowledge of asset management would be beneficial but not a pre-requisite
- Risk and control focused individual with excellent judgment
- Knowledge of investment instruments including derivatives
- General compliance knowledge - familiarity with FCA/EU regulations, including MiFID, UCITS and AIFM Directives would be beneficial
- 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 ABOUT GOLDMAN SACHS
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., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity