The Goldman Sachs Group, Inc

Compliance, Asset Management Compliance, Vice President, New York

The Goldman Sachs Group, Inc$160K — $200K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • Bachelor's Degree, JD or MBA required
  • 5 - 8 years of experience in compliance, legal, or financial services
  • Strong communication skills are essential
  • Ability to manage multiple tasks and work under pressure
  • Interest in asset management and regulatory environments

Responsibilities

  • Provide daily compliance advice to the External Investing Group
  • Assess and coordinate new business initiatives
  • Develop and maintain firm compliance policies and procedures
  • Conduct due diligence on transactions and assess risks
  • Create compliance training programs tailored to the firm's needs
  • Review and advise on compliance aspects of marketing materials
  • Perform testing and surveillance to monitor compliance risks
  • Assist with audits, regulatory examinations, and inquiries

Benefits

  • Collaborative team environment with diverse skill sets
  • Opportunity to engage with senior personnel across various functions
  • Exposure to high-level compliance challenges in asset management
  • Engagement with alternative and traditional investment strategies
  • Development opportunities in understanding complex regulatory frameworks
Full Job Description
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.

Asset Management Compliance

The Goldman Sachs Asset Management Compliance team is seeking a Vice President to support the External Investing Group ("XIG"). XIG is a leading external manager platform with expertise and global scale across the risk-return spectrum. Its mission is to leverage our insight, expertise, and network to connect our investors to sought-after opportunities with in alternative strategies (hedge fund, private credit, private equity, and real estate), and traditional strategies (for example, fixed income and public equities).

The role features an opportunity to engage on daily basis with senior investment, operations and sales personnel in an advisory and implementation capacity relating to investing, fundraising, ongoing business operations. The ideal candidate will have a strong interest in understanding Asset Management's business, investing and operational processes and applicable regulatory requirements such as the Investment Advisers Act, and other securities laws.

RESPONSIBILITIES
  • Provide day-to-day line compliance coverage for XIG, acting as compliance adviser to the business. Advise on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations, and regulatory expectations
  • Assess new business initiatives and coordinate with interested stakeholders
  • Develop, draft and maintain compliance policies and procedures outlining firm requirements, regulations and best practices
  • Conduct due diligence on prospective transactions, including review of third party managers and private companies for potential regulatory, legal and reputational risks
  • Create and implement compliance training programs
  • Review and advise on marketing materials
  • Perform forensic testing, oversight and surveillances to assess compliance risks and breaches
  • Assist with regulatory examinations, audits and inquiries
  • Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues

    QUALIFICATIONS
  • Bachelor's Degree, JD or MBA
  • 5 - 8 years compliance, legal, regulatory or financial services industry experience
  • Excellent communications skills
  • Ability to handle multiple tasks simultaneously and work under pressure


About The Goldman Sachs Group, Inc

The Goldman Sachs Group, Inc. provides investment banking, securities, and investment management services, as well as financial services to corporations, financial institutions, governments, and high-net-worth individuals worldwide. Its Investment Banking segment offers financial advisory services, including advisory assignments concerning mergers and acquisitions, divestitures, corporate defense, risk management, and restructurings and spin-offs; and underwriting services comprising public offerings and private placements of a range of securities, loans, and other financial instruments, and derivative transactions. The company’s Institutional Client Services segment provides client execution services, such as fixed income, currency, and commodities client execution related to making markets in interest rate products, credit products, mortgages, currencies, and commodities; and equities related to making markets in equity products, as well as executes and clears institutional client transactions on stock, options, and futures exchanges. This segment also engages in the securities services business providing financing, securities lending, and other brokerage services to institutional clients, including hedge funds, mutual funds, pension funds, and foundations. Its Investing and Lending segment originates longer-term loans; and invests in debt securities, loans, public and private equity securities, real estate, consolidated investment entities, distressed assets, currencies, commodities, and power generation facilities. The company’s investment management segment provides investment products and services, as well as offers wealth advisory services, including portfolio management and financial counseling, and brokerage and other transaction services.

The Goldman Sachs Group, Inc. Careers

Join the prestigious team at The Goldman Sachs Group, Inc., a global leader in finance and investments, and propel your career to new heights. Our firm is renowned for its commitment to excellence, innovation, and leadership in the financial sector.

Work You’ll Do

At Goldman Sachs, you will be part of a dynamic environment that fosters growth, diversity, and professional development. Engage in transformative projects that redefine the landscape of global finance, driven by a culture of high performance and continuous improvement.

Lead with Innovation and Leadership

Step into a role where your skills will be honed and your leadership capabilities enhanced. The Goldman Sachs Group, Inc. is at the forefront of merging financial expertise with technological innovation, creating a platform for you to lead impactful initiatives.

Join Our Diverse and Inclusive Team

Diversity and inclusion are at the core of our company culture. With employees from various backgrounds, Goldman Sachs thrives on the rich ideas and perspectives that this diversity brings. Here, every team member’s contribution is valued, and every voice is heard.

Explore Job Opportunities and Internships

Whether you’re seeking full-time employment or looking into internship opportunities, Goldman Sachs offers a range of positions that cater to different skills, experiences, and career aspirations. From analyst to executive positions, discover how you can contribute to our legacy of success.

Networking and Professional Growth

Goldman Sachs is not just a workplace. It is a community where you can build lasting relationships with colleagues and industry leaders. Our networking events, mentorship programs, and professional groups foster connections that can accelerate your career trajectory.

Benefits and Career Development

Invest in your future with Goldman Sachs’ unparalleled employee benefits and career development programs. From comprehensive health benefits to personalized career coaching and leadership training, we ensure that our team is equipped for success, both professionally and personally.

Prepare for Your Future

Ready to take the next step? Prepare your resume, sharpen your interview skills, and explore the vast array of job opportunities at The Goldman Sachs Group, Inc. Our hiring process is designed to identify and nurture talent, helping you to achieve your career goals.

Stay Connected

Keep up to date with the latest from Goldman Sachs Careers by subscribing to our job alert emails. Tailor your preferences to receive updates that match your career interests and stay ahead in the competitive financial sector.

Join The Goldman Sachs Group, Inc.

Embark on a rewarding journey with The Goldman Sachs Group, Inc. where your potential is limitless. Explore positions, read about our company culture, and apply today to become part of a team that values growth, leadership, and innovation.

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At The Goldman Sachs Group, Inc., your career is just the beginning – it’s an opportunity to excel and lead in the global financial industry. Join us and make your mark!
Learn more about The Goldman Sachs Group, Inc
Size
45,100 employees
Market Cap
$115.8 billion
Industry
Net Income
$9.4 billion
Founded
1869
5 Year Trend
+11.3%
Revenue
$53.4 billion
NASDAQ

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