Compliance, Asset Management, Vice President, Birmingham Birmingham · United Kingdom · Vice Pre[...]

Goldman Sachs Bank AG; Birmingham; On-site; GBP 70,000 - 110,000

Job description

Opportunity Overview sitemap_outline CORPORATE TITLE Vice President language OFFICE LOCATION(S) Birmingham assignment JOB FUNCTION Financial Crime Controls account_balance DIVISION Compliance Division

WHO WE ARE
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and asset management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Dublin, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.

BUSINESS UNIT AND ROLE OVERVIEW
This is a Team Manager role with a primary focus to manage the EMEA Asset Management marketing collateral review function. As a Team Manager this will include leading a team that primarily performs marketing collateral reviews and other Asset Management Compliance functions, such as monitoring and testing, implementing new regulations and providing Compliance advisory advice to the business. The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to marketing strategies, regulatory requests, respond to Compliance queries from the business, uplift the Compliance program in response to regulatory reform, perform surveillance and forensic reviews, designing and conduct Compliance training, participate in policy updates and drafting, and advise on sales activity.

EXPERIENCE

• Ability to manage a team of Compliance professionals and work as part of a broader Compliance team
• Ability to act as project lead on various Compliance matters
• Good familiarity with financial promotion rules and experience in conducting marketing collateral reviews
• Ability to represent Compliance on regulatory and business initiative projects
• Development and implementation of Compliance programs
• Production of materials and presentation of those to senior firm committees and/or board
• Ability to deal with senior business personnel and deliver good Compliance outcomes in time constrained situations

RESPONSIBILITIES

• Manage marketing, distribution and third-party distributor due diligence framework, and the Asset Management digital strategy
• Compliance advisory regarding global asset management marketing and distribution questions: UCITS/Non-UCITS/cross border distribution
• Preparation, organisation and delivery of Compliance trainings
• Lead and manage strategic Compliance projects, including Compliance enhancement, business initiatives and regulatory reform
• Compliance monitoring of any aspects of FCA regulations, and other international regulators, as part of general monitoring or forensic review work
• Develop and draft Compliance policies and procedures, outlining firm policies, regulations and best practices
• Participate in Compliance working groups for firm strategic initiatives
• Conduct surveillance and testing against regulatory requirements and applicable policies and procedures

QUALIFICATIONS

• 5+ years Compliance experience (asset management experience preferred, but not essential)
• Risk and control focused individual with excellent judgment
• Knowledge of core investment instruments
• Knowledge and familiarity with FCA regulations, MiFID, and AIFM Directives. Knowledge of UCITS, CSSF, CBI, BaFin, SEC, Investment Adviser's Act, Investment Company Act, ERISA is helpful but not required
• Ability to demonstrate leadership attributes
• Ability to demonstrate excellent competencies, such as effective analytical and communication skills
• Ideally have a history of project management, regulatory implementation and change management

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

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.