Compliance, Asset Management Compliance, Associate, Dublin

Compliance, Asset Management Compliance, Associate, Dublin

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• Dublin, Co. Dublin, Ireland
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Opportunity Overview

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CORPORATE TITLE

Associate

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OFFICE LOCATION(S)

Dublin

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JOB FUNCTION

Business Unit Compliance

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DIVISION

Compliance Division

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OUR IMPACT

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.

YOUR IMPACT

This is a role on the Asset Wealth Management(“AWM”) Compliance Advisory team helping to provide compliance advisory services covering portfolio management, trading, sales and marketing activity within Goldman Sachs Asset Management (“GSAM”) and based in Dublin. 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.

EXPERIENCE

• Ability to work as part of a global team as well as act as project lead on various compliance matters
• Familiar with the risk and compliance function of asset management
• Understanding the development and implementation of compliance programs
• Ability to deal with business personnel and deliver good compliance outcomes in time constrained situations

RESPONSIBILITIES

• Provide Compliance support and representation on AWM strategic initiatives
• Review and approval of financial promotion materials
• Provide daily compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
• Assistance in the production of board reports
• 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
• Ensure breaches and complaints are logged and cover the compliance aspect of the sign off
• Create compliance training programs
• 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
• Compliance advisory on new GSAM fund launch projects
• Preparation, organisation and delivery of compliance trainings
• Miscellaneous projects as required

QUALIFICATIONS

• 3 years regulatory risk or compliance experience (asset management experience preferred)
• Highly motivated risk and control focused individual with excellent judgment
• Knowledge of investment instruments including derivatives
• General compliance knowledge and familiarity with CBI and FCA regulations, MiFID, UCITS, AIFMD and SFDR
• 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

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., 2023. All rights reserved.

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.

We Offer Best-In-Class Benefits

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

Holiday & Vacation Policies

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

Health Services

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care

We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Benefits at Goldman Sachs

Read more about the full suite of class-leading benefits our firm has to offer.

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