Compliance Officer

Compliance, Asset Management Compliance, Vice President, New York New York, NY, United States 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. Job Description This position sits in divisional compliance and is focused on Goldman Sachs’ Asset Management Division (“AMD”). AMD delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. AMD’s clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AMD serves a diverse range of clients – individuals, financial advisors, and institutions – who rely on AMD to help them understand markets, deliver innovative investment solutions and plan for their future. AMD Compliance is seeking a mid to senior level compliance professional to join the US AMD Compliance team. AMD Compliance provides daily advice to AMD’s various business teams on portfolio management, investing and lending activities, fundraising, the Investment Advisers Act, Investment Company Act, reputational risk, and other various regulatory requirements. The individual will interact with different business lines and control functions, including AMD’s Portfolio Management teams, Sales, Finance, Operations, Engineering, Legal, and Internal Audit. The ideal candidate will have a strong interest in understanding AMD’s business model and operational processes. Responsibilities Provide Compliance oversight and support for AMD personnel and provide advice on how to conduct AMD’s business in a manner that complies with the vast array of applicable rules, regulations and regulatory expectations Develop, draft and maintain compliance policies and procedures outlining firm requirements, regulations and best practices Create and deliver compliance trainings Review and advise on product marketing materials used to pitch AMD’s products and services Perform testing, including the review of surveillances and conducting forensic reviews to assess compliance risks and identify potential 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 Coordinate with the business and other internal stakeholders to assist with new business initiatives and regulatory requirements Qualifications Bachelor’s Degree, JD or MBA 4 - 6 years of Compliance, Legal, Regulatory or Financial Services industry experience Excellent communications skills (oral and written), judgment, organizational skills, and project management skills Ability to handle multiple tasks simultaneously and work in a fast paced environment Salary Range The expected base salary for this New York, New York, United States-based position is $115000-$250000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year‑end. Benefits Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time U.S. employees who work at least 20 hours per week, can be found here. We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year. We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities. We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state‑of‑the‑art on‑site health centers in certain offices. To encourage employees to live a healthy and active lifestyle, some of our offices feature on‑site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre‑approved amount). We offer on‑site child care centers that provide full‑time and emergency back‑up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available. Learn more about the full suite of class‑leading benefits our firm has to offer. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity #J-18808-Ljbffr