VP Regulatory Compliance Monitoring

1 month ago

London, United Kingdom Goldman Sachs Full time

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.


This is a Team Manager role with a primary focus on strategic uplifts within the AM Compliance program. The role will include leading a team, and collaborating with the broader AM Compliance team, to enhance aspects of the Compliance program, implementing new regulations and representing Compliance in supporting new business initiatives. In addition, the role's primary function, other areas of responsibilities include providing compliance advisory services covering portfolio management, trading, sales and marketing activity within Goldman Sachs Asset Management International ("GSAM") based in London, where GSAM is part of Asset Management ("AM").


The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to regulatory requests, respond to compliance queries from the business, uplift compliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business in compliance matters, participate in policy updates and drafting, conduct marketing material sign off, and advise on sales activity.


Ability to work as part of a team of Compliance professionals as well as lead on various Compliance matters and projects
Good familiarity with all aspects of Asset Management Compliance
Represent Compliance on projects such as new activities, new products or regulatory reform
Understanding of Compliance programs and development and implementation of those programmes
Production of materials and presentation of those to senior firm committees and/or board
Ability to deal with senior business personnel and deliver good compliance outcomes in time constrained situations

Compliance advisory on investing activity and associated governance requirements
Compliance advisory regarding global asset management marketing and distribution questions and Asset Management digital strategy, including review of marketing materials
Compliance advisory on new AM fund launch projects
Prepare, organise and deliver compliance trainings
Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
Lead and manage strategic Compliance projects, including Compliance enhancement, business initiatives and regulatory reform
Participate in compliance working groups for firm strategic initiatives
Compliance monitoring of any aspects of FCA regulations, and other international regulators, as part of general monitoring or forensic review work
Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
Miscellaneous projects as required

5+ years compliance experience in asset management
~ Risk and control focused individual with excellent judgment
~ General compliance knowledge and familiarity with FCA regulations, MiFID, UCITS and AIFM Directives, ELTIF regulation. Graduate equivalent education (Preferred)


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'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. We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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