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Nu Advisory Partners

Compliance, Asset Management Compliance, Associate

Goldman Sachs

Goldman Sachs

New York, NY, USA
Posted on Thursday, June 6, 2024

Job Description

Global Compliance
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.
Role Overview

This position sits in divisional compliance with Goldman Sachs Asset Management Compliance. As one of the world’s leading asset managers, Goldman Sachs Asset Management 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. Goldman Sachs Asset Management’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. Goldman Sachs Asset Management serves a diverse range of clients – individuals, advisors, and institutions – who rely on Goldman Sachs Asset Management to help them understand markets, deliver innovative investment solutions and plan for their future.

The Asset Management Compliance Associate would be based in New York City and will have the following primary responsibilities:

  • Interact with business teams on a daily basis
  • Review marketing materials that are used to pitch Goldman Sachs Asset Management products and services to clients
  • Perform testing, including review of surveillances and forensic reviews
  • Deliver compliance trainings
  • Coordinate with Business areas, Legal, Technology and Operations to assist with new business initiatives and regulatory requirements
  • Manage ad-hoc and long-term projects as required

Basic Qualifications:

  • Two or more years (depending on experience) in the financial services industry
  • Interest and willingness to develop expertise in legal, regulatory and compliance issues in the financial industry
  • Risk and control focused individual with excellent judgment
  • Strong analytical and risk assessment skills
  • Concise verbal and written communication skills
  • Excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
  • Self-starter, works independently, and proactively follows-up
  • Strong sense of urgency
  • Ability to multi-task and meet multiple deadlines
  • Organized and attentive to detail
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 employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Salary Range
The expected base salary for this New York, New York, United States-based position is $85000-$140000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.