Compliance, Asset Management Compliance, Analyst / Associate, Chicago Chicago As

Compliance, Asset Management Compliance, Analyst / Associate, Chicago location_on Chicago, Illinois, United States Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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 (AM). AM 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. AMs clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AM serves a diverse range of clients individuals, financial advisors, and institutions who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future. AM Compliance is seeking a compliance Analyst or Associate to join the US AM Sales and Marketing Compliance team. This role within AM Compliance will provide daily advice to AMs various business teams on sales and marketing related rules and regulations, reputational risk, and other regulatory requirements. The individual will interact with different business lines and control functions, including AMs Marketing and Sales teams, Operations, Engineering, Legal, and Internal Audit. The ideal candidate will have a strong interest in regulatory compliance and in understanding AMs business model and operational processes. Responsibilities Provide compliance oversight and support for AM personnel and provide advice on how to conduct AMs business in a manner that complies with the vast array of applicable rules, regulations, and regulatory expectations Review and advise on product marketing materials used to pitch AMs products and services Perform testing, including the review of surveillances and conducting forensic reviews to assess compliance risks and identify potential breaches Work with regional compliance, legal, and business teams on marketing initiatives and provide guidance on regulatory requirements Analyze and stay current on global rules and regulations applicable to the sale of AM products in the US and abroad Develop, draft, and maintain compliance policies and procedures outlining firm requirements, regulations, and best practices Create and deliver compliance trainings Coordinate with the business and other internal stakeholders to assist with new business initiatives and regulatory requirements Assist with regulatory examinations, audits and inquiries Qualifications Bachelors Degree, JD or MBA 2-6 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 ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers. Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law. Salary Range The expected base salary for this Chicago, Illinois, United States-based position is $65000-$120000. 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 availableto active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here . Healthcare & Medical Insurance We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance. 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. Financial Wellness & Retirement 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. Health Services 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. Fitness 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). Child Care & Family Care 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. Benefits at Goldman Sachs Read more about the full suite of class-leading benefits our firm has to offer. #J-18808-Ljbffr