Compliance, Asset Management Compliance, Vice President, New York
About The Position
The Goldman Sachs Asset Management Compliance team is seeking a Vice President to support the External Investing Group (“XIG”). XIG is a leading external manager platform with expertise and global scale across the risk-return spectrum. Its mission is to leverage our insight, expertise, and network to connect our investors to sought-after opportunities with in alternative strategies (hedge fund, private credit, private equity, and real estate), and traditional strategies (for example, fixed income and public equities). The role features an opportunity to engage on daily basis with senior investment, operations and sales personnel in an advisory and implementation capacity relating to investing, fundraising, ongoing business operations. The ideal candidate will have a strong interest in understanding Asset Management’s business, investing and operational processes and applicable regulatory requirements such as the Investment Advisers Act, and other securities laws.
Requirements
- Bachelor’s Degree, JD or MBA
- 5 - 8 years compliance, legal, regulatory or financial services industry experience
- Excellent communications skills
- Ability to handle multiple tasks simultaneously and work under pressure
Nice To Haves
- Strong interest in understanding Asset Management’s business, investing and operational processes and applicable regulatory requirements such as the Investment Advisers Act, and other securities laws.
Responsibilities
- Provide day-to-day line compliance coverage for XIG, acting as compliance adviser to the business. Advise on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations, and regulatory expectations
- Assess new business initiatives and coordinate with interested stakeholders
- Develop, draft and maintain compliance policies and procedures outlining firm requirements, regulations and best practices
- Conduct due diligence on prospective transactions, including review of third party managers and private companies for potential regulatory, legal and reputational risks
- Create and implement compliance training programs
- Review and advise on marketing materials
- Perform forensic testing, oversight and surveillances to assess compliance risks and breaches
- Assist with regulatory examinations, audits and inquiries
- Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
Benefits
- training and development opportunities
- firmwide networks
- benefits
- wellness
- personal finance offerings
- mindfulness programs
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
