About This Role
Compliance professionals with expertise in asset management are sought for this challenging role. As a key member of the Compliance Advisory team, you will provide critical support to strategic initiatives and ensure regulatory adherence across various aspects of portfolio management, trading, sales, and marketing activities.
Key Responsibilities
* Support AWM's strategic initiatives from a compliance perspective
* Review and approve financial promotion materials
* Conduct daily compliance surveillance of GSAM portfolios to ensure regulatory adherence
* Assist in preparing board reports
* Evaluate new financial instruments and vehicles for compliance issues
* Develop and update compliance policies and procedures
* Log breaches and complaints, ensuring compliance sign-off
* Create and deliver compliance training programs
* Provide compliance advice on global marketing and distribution, including UCITS, Non-UCITS, and cross-border issues
* Review due diligence on third-party distributors
Required Skills and Qualifications
* Minimum of 3 years in regulatory risk or compliance, preferably in asset management
* Strong risk awareness and judgment
* Knowledge of investment instruments, including derivatives
* Familiarity with CBI, FCA regulations, MiFID, UCITS, AIFMD, and SFDR
* Excellent analytical, organizational, and communication skills
* Ability to manage multiple tasks with attention to detail and work under pressure
* Capable of working independently and within a team
About Our Organization
We are a leading global investment banking, securities, and investment management firm committed to diversity, inclusion, and professional growth. We offer a range of benefits, including health and welfare programs, generous vacation policies, financial wellness and retirement support, health services, fitness centers, child and family care, and comprehensive benefits packages.