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.

SKILLS/EXPERIENCE

• Demonstrated interest in financial markets, asset management and managing conduct risk
• A critical thinker with strong analytical, organizational, researching and fact-gathering skills
• A highly motivated self-starter, who learns quickly and works well under pressure
• Able to effectively summarize, communicate and defend positions
• A proactive team player, who enjoys working collaboratively across teams and disciplines
• Possess effective interpersonal and communication skills; the candidate should be outgoing, communicative, persuasive and courteous

BUSINESS UNIT AND ROLE OVERVIEW

This is a role on the Asset Management Compliance team based in Birmingham. The successful candidate will provide Compliance advisory services covering sales and marketing activities within Goldman Sachs Asset Management (“GS AM”). The role will predominately involve reviewing marketing collateral to ensure conformity to financial promotion regulations and jurisdiction restrictions. In addition, the successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to sales and marketing regulatory requests, uplift compliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business in compliance matters, participate in policy updates and drafting, conduct marketing material approval.

RESPONSIBILITIES

• Review and approval of financial promotion materials
• Support the forensic program, including engaging in ad hoc and programmatic reviews, escalating and logging findings, prepare policy reminders
• Compliance support and representation on strategic initiatives
• Participate in regulatory identification and implementation projects
• Develop and implement Compliance policies and procedures, outlining firm policies, regulations and best practices
• Preparing and delivering Compliance training
• Assisting in responding to regulatory inquiries and investigationsMiscellaneous projects as required