This position sits in the divisional compliance team that covers the 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.

Asset Management (“AM”) Compliance is seeking a compliance Vice President to join the AM Compliance team in New York City. AM Compliance provides daily advice to the AMD 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 sit within the AM Compliance “Core” team and interact with different business lines and control functions, including the AMD Chief Operating Officers and Divisional Management, Engineering, Legal, Internal Audit, and other Divisional Compliance teams. The ideal candidate will have a strong interest in understanding the firm’s risk management processes, and AMD’s business model and operational processes.

RESPONSIBILITIES AND QUALIFICATIONS

The AM Compliance “Core” team is responsible for delivering on many of the initiatives at the forefront of ensuring our firm's compliance program is best in class, factoring in the latest regulatory guidance and industry standards. In particular, the “Core” team is responsible for managing the firm’s key risk assessment processes and in driving forward global special projects that advance firmwide initiatives that are regulatory driven and/or related to AMD. We are looking for a team member who can help drive our mission forward and collaborate across business units within AMD, within Compliance, and across the firm. We are looking for someone who is analytical, comfortable with data, and has very strong writing skills. The role will require you to navigate and problem solve with multiple teams and stakeholders bearing in mind timelines and a senior audience.

Principal Responsibilities:

• Oversee the second line Compliance Risk Assessment of the Asset Management Division, including central coordination and organization; helping to ensure consistency, accuracy, and completeness; training of assessors; and substantive drafting/rating of centrally managed risks
• Oversee the AM Compliance controls and risks inventories, including change management
• Oversee AM Compliance involvement in the first line Risk and Control Self-Assessment
• Analyze trends in risk assessment results and develop reporting
• Oversee central requests impacting AM Compliance relating to key rules inventory and regulatory change process
• Oversee the Compliance Evaluation Framework reporting for AM Compliance, a bi-annual process to measure sustainability and effectiveness of the compliance program
• Represent AM Compliance in firmwide global special projects that are regulatory driven and/or related to AMD

Qualifications:

• Bachelor's degree required; JD preferred
• Experience with compliance risk assessments and/or risk and control self-assessments preferred
• 4-8 years’ experience in compliance or risk management in the financial services industry
• Excellent oral and written communication skills
• Strong project management skills
• Detail-oriented and able to produce quality work product, even when working under tight timeframes
• Comfortable being independent and a self-starter
• Ability to decipher and navigate ambiguous situations with the aim of developing solutions
• Analytical; capable of identifying and distilling relevant information quickly
• MS Office proficiency; advanced knowledge of PowerPoint and Excel is preferred