Job Description
BUSINESS UNIT AND ROLE OVERVIEW
This is a role on the Asset Wealth Management("AWM")pliance Advisory team helping to providepliance advisory services covering portfolio management, trading, sales and marketing activity within Goldman Sachs Asset Management ("GSAM") and based in Dublin. The successful candidate will work with business partners, Legal andpliance colleagues in connection with helping to respond to regulatory requests, respond topliance queries from the business, upliftpliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business inpliance matters, participate in policy updates and drafting, conduct marketing material sign off, and advise on sales activity.
EXPERIENCE
1. Ability to work as part of a global team as well as act as project lead on variouspliance matters
2. Familiar with the risk andpliance function of asset management
3. Understanding the development and implementation ofpliance programs
4. Ability to deal with business personnel and deliver goodpliance oues in time constrained situations
RESPONSIBILITIES
5. Providepliance support and representation on AWM strategic initiatives
6. Review and approval of financial promotion materials
7. Provide dailypliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
8. Assistance in the production of board reports
9. Participate in the review and evaluation of new instruments and vehicles to identifypliance issues and surveillance needs
10. Develop and draftpliance policies and procedures, outlining firm policies, regulations and best practices
11. Ensure breaches andplaints are logged and cover thepliance aspect of the sign off
12. Createpliance training programs
13. Review and approval of due diligence on third party distributors
14. Preparation, organisation and delivery ofpliance trainings
15. Miscellaneous projects as required
QUALIFICATIONS
16. 3 years regulatory risk orpliance experience (asset management experience preferred)
17. Highly motivated risk and control focused individual with excellent judgment
18. Knowledge of investment instruments including derivatives
19. Generalpliance knowledge and familiarity with CBI and FCA regulations, MiFID, UCITS, AIFMD and SFDR
20. Effective analytical and organizational skills
21. Strong verbal and writtenmunication skills
22. Ability to handle multiple tasks with attention to detail and work under pressure
23. Ability to work both independently and as part of a team
ABOUT GOLDMAN SACHS
At Goldman Sachs, wemit our people, capital and ideas to help our clients, shareholders and themunities 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'remitted 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/careers.
We'remitted to finding reasonable amodations for candidates with special needs or disabilities during our recruiting process. Learn more: //goldmansachs/careers/footer/
The Goldman Sachs Group, Inc., 2025. All rights reserved. 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. Job ID 300012431483127