GSAM Compliance – Distribution & Marketing recruitment

Job Summary Responsibilities 

RESPONSIBILITIES

• Ensuring that compliance procedures (which demonstrate commercial awareness of business realities) are properly defined and implemented in accordance with local legislation and Group policy in all European offices, adopting a common approach to avoid duplication of effort wherever possible.

• Monitoring and reporting on compliance issues to Senior Management.

• Providing guidance and training to Sales staff, with a view to empowering them to carry out their duties with maximum risk and compliance awareness.

• Contributing to the harmonisation of Group Policies and procedures on compliance in general.

• In-depth involvement with Product Development, Marketing, Fund Treasury and Operations to ensure that the cross-border regulatory and legal aspects of new products and customers are fully understood.

• Compliance Oversight for functions outsourced by the Funds including (1) advisory role on issue resolution, (2) due diligence pre- outsource and (3) input in the contract and SLA process

• Advise the GS business units (Fund Treasury, Operation, etc) on issue resolution

• Co-ordinate implement new/ amended regulatory rules (including SEC, FSA, European regulations) including new reporting

• Set up and perform desk top monitoring

• Sign off of client communication

• Provide training to business units

• Review financial promotions

• Act as compliance contact for new product launches

In addition to being involved in the above tasks the manager will be required to:

• Provide leadership to the team, delegating tasks and providing support to the team in assisting them to develop their careers

• Review and approve New Pooled Vehicles

• Ensure strong controls are in place and updated as necessary.

• Provide a pro-active advisory service to the distribution units and senior management.

• Oversight of outsourced functions. 

 Basic Qualifications 

 SKILLS / EXPERIENCE  

• Experience in working with various distribution channels.

• Effective verbal and written communication skills

• Ability to handle multiple tasks with attention to detail and work under pressure

• Ability to work both independently and as part of a team

• Excellent relationship building skills

• Liaise with regional counterparts to establish best practice and consistency in approach.

• Have the necessary gravitas to effectively interact with senior members of business and management