Compliance, Asset Management Compliance - Marketing Materials Review, Vice President, New York
About The Position
This position sits in divisional compliance and is focused on Goldman Sachs Asset Management (“AM”). AM delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. AM’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AM serves a diverse range of clients – individuals, financial advisors, and institutions – who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future. AM Compliance is seeking a compliance VP to join the US AM Compliance team. AM Compliance provides daily advice to AM’s various business teams on portfolio management, investing and lending activities, fundraising, the Investment Advisers Act, Investment Company Act, reputational risk, and other various regulatory requirements. The individual will interact with different business lines and control functions, including AM’s Marketing, Sales, Portfolio Management teams, Finance, Operations, Engineering, Legal, and Internal Audit. The ideal candidate will have a strong interest in understanding AM’s business model and operational processes.
Requirements
- Bachelor’s Degree, JD or MBA
- 4-8 years of Compliance, Legal, Regulatory or Financial Services industry experience
- Excellent project management skills, communications skills (oral and written), judgment, and organizational skills
- Ability to handle multiple tasks simultaneously and work in a fast-paced environment
Responsibilities
- Understanding of the Advisers Act and FINRA advertising regulations
- Coordinate among broader AM Compliance team and set strategy for review of marketing materials used to pitch AM’s product and services, including, website and social media content, due diligence responses, and advertisements
- Assess current and prospective regulatory risk through industry interaction and research
- Provide compliance oversight and support for AM personnel and provide advice on how to conduct AM’s business in a manner that complies with the vast array of applicable rules, regulations, and regulatory expectations
- Analyze and stay current on global rules and regulations applicable to the sale of AM products in the US and abroad
- Work with regional compliance, legal, and business teams on cross-border marketing initiatives and provide guidance on regulatory requirements
- Develop, draft, and maintain compliance policies and procedures outlining firm requirements, jurisdictional requirements, regulations, and best practices
- Create and deliver compliance trainings
- Coordinate with the business and other internal stakeholders to assist with new business initiatives and regulatory requirements
- Perform testing, including the review of surveillances and conducting forensic reviews to assess compliance risks and identify potential breaches
- Assist with regulatory examinations, audits and inquiries
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
