Regulatory Policy Director

1 month ago

London, Greater London, United Kingdom College of Charleston Full time
OUR IMPACT

Our division plays a critical role in preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm. We help strengthen the firm's culture of compliance by assessing risk, monitoring regulatory changes, designing controls, and conducting independent testing.

YOUR IMPACT

This is a Team Manager role with a primary focus on strategic uplifts within the Asset Management Compliance program. You will lead a team and collaborate with the broader AM Compliance team to enhance the Compliance program, implement new regulations, and represent Compliance in supporting new business initiatives.

KEY RESPONSIBILITIES
  • Provide compliance advisory services covering portfolio management, trading, sales, and marketing activity within Goldman Sachs Asset Management International.
  • Work with business partners, Legal, and Compliance colleagues to respond to regulatory requests, respond to compliance queries from the business, and uplift the 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.
  • Represent Compliance on projects such as new activities, new products, or regulatory reform.
  • Develop and draft compliance policies and procedures, outlining firm policies, regulations, and best practices.
REQUIREMENTS
  • 5+ years compliance experience 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.
  • 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.

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