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 position sits in the US Regulatory Compliance Group within Goldman Sachs Asset Management (GSAM) Compliance. As one of the world’s leading asset managers, GSAM 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. GSAM’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. GSAM serves a diverse range of clients – individuals, advisors and institutions – who rely on GSAM to help them understand markets, deliver innovative investment solutions and plan for their future.
GSAM Compliance is seeking a mid-level compliance professional to join the US Regulatory Compliance Group within GSAM Compliance. The role will primarily support the Funds’ Chief Compliance Officer within the Group. The US Regulatory Compliance Group is primarily responsible for Funds that are subject to regulation under the Investment Company Act of 1940 and are organized as open end funds, closed end funds, BDCs, externally managed open-end funds and ETFs.
The candidate should have a thorough understanding of the regulatory requirements of the Investment Company Act of 1940. The candidate will be responsible for assisting in building and maintaining the compliance programs for the product lines described above, and for assisting with board reporting and other aspects of GSAM’s relationship with the Board on Compliance-related issues. The individual will also be assisting in overseeing the activities of GSAM, as the adviser to the Funds, and the other key service providers to the Funds (e.g. fund administrator, transfer agent). The individual will interact with different business lines and control functions, including Portfolio Management, Product Development, Sales, Operations, IT, Legal, Controllers, and Product Management.
The ideal candidate will have a strong interest in understanding the business models and operational processes underlying the products described above. He or she will be risk focused, and will have excellent judgment, excellent written and oral communication skills, strong organizational and project management skills, and will have the ability to work in a very fast paced environment. Attorneys with in-house and/or law firm experience in the Investment Company Act of 1940 a plus.
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