Compliance, Asset Management Compliance, Associate, Dublin

4 weeks ago

Dublin, Dublin City, Ireland Goldman Sachs Bank AG Full time

Compliance, Asset Management Compliance, Associate, Dublin location_on Dublin, Co. Dublin, Ireland

BUSINESS UNIT AND ROLE OVERVIEW

This role is within the Asset Wealth Management ("AWM") Compliance Advisory team based in Dublin. The successful candidate will provide compliance advisory services related to portfolio management, trading, sales, and marketing activities within Goldman Sachs Asset Management ("GSAM"). Responsibilities include responding to regulatory requests, addressing compliance queries, enhancing compliance programs in response to regulatory reforms, conducting surveillance and forensic reviews, training staff on compliance matters, updating and drafting policies, approving marketing materials, and advising on sales activities.

EXPERIENCE

  • Ability to work collaboratively within a global team and lead compliance projects
  • Knowledge of asset management risk and compliance functions
  • Experience in developing and implementing compliance programs
  • Effective communication with business personnel to achieve compliance outcomes under time constraints

RESPONSIBILITIES

  • Support AWM strategic initiatives from a compliance perspective
  • Review and approve financial promotion materials
  • Conduct daily compliance surveillance of GSAM portfolios to ensure regulatory adherence
  • Assist in preparing board reports
  • Evaluate new financial instruments and vehicles for compliance issues
  • Develop and update compliance policies and procedures
  • Log breaches and complaints, ensuring compliance sign-off
  • Create and deliver compliance training programs
  • Provide compliance advice on global marketing and distribution, including UCITS, Non-UCITS, and cross-border issues
  • Review due diligence on third-party distributors
  • Advise on new fund launches and other projects

QUALIFICATIONS

  • Minimum of 3 years in regulatory risk or compliance, preferably in asset management
  • Strong risk awareness and judgment
  • Knowledge of investment instruments, including derivatives
  • Familiarity with CBI, FCA regulations, MiFID, UCITS, AIFMD, and SFDR
  • Excellent analytical, organizational, and communication skills
  • Ability to manage multiple tasks with attention to detail and work under pressure
  • Capable of working independently and within a team

ABOUT GOLDMAN SACHS

Goldman Sachs is a leading global investment banking, securities, and investment management firm established in 1869. Headquartered in New York, we operate worldwide, committed to diversity, inclusion, and professional growth. Learn more about our culture and benefits at GS.com/careers.

We provide accommodations for candidates with disabilities during our recruitment process. Details can be found at https://www.goldmansachs.com/careers/footer/disability-statement.html

Our benefits include health and welfare programs, generous vacation policies, financial wellness and retirement support, health services, fitness centers, child and family care, and comprehensive benefits packages.

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