Compliance-Wheaton, IL-Analyst-Asset Management Compliance

Goldman Sachs • Chicago, IL

2h • Onsite

About The Position

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 role would work closely with the Innovator Capital Management compliance team and the expectation for this role is in person at the Wheaton, IL office.

Requirements

• Bachelor’s Degree Required
• 2-3 years of regulatory compliance experience required, working in compliance programs which have supported a registered investment adviser
• Experience with reviewing advertising and marketing materials for registered investment adviser
• Excellent understanding of the asset management industry as well as knowledge of securities laws that relate to investment advisers
• Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk
• Committed to maintaining high ethical standards and a strong compliance culture
• Self-motivated professional who will take ownership of their work, think strategically, and be able to work independently and collaboratively with a team
• Ability to multi-task effortlessly and manage competing priorities under deadlines
• Proficient user of Microsoft Excel, Word, Outlook and PowerPoint
• Ability to learn and navigate efficiently new software, portals, or web applications used by Innovator

Nice To Haves

• Knowledge and experience with ETFs a plus

Responsibilities

• Lead the compliance reviews of marketing materials, such as presentations, product brochures, and other forms of communication
• Assist in the development and maintenance of compliance policies and procedures; address the impact of regulatory changes and implement the requirements necessary to the Firm
• Identify and interpret SEC rules and regulations to ensure firm’s policies and procedures address regulatory requirements and incorporate industry best practices
• Perform targeted reviews in connection with the specific ETF compliance requirements, including web and document disclosure, and other regulatory and compliance requirements
• Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting
• Provide assistance to the testing program and annual risk assessment
• Assist with other compliance program activities including the implementation of new rules/regulations and supporting new firm compliance projects
• Provide support with the Firm’s responses and documentation requests to any regulatory exams or inquires
• Other compliance-related tasks/projects as requested

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level