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

• People management
• 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