Job Summary & Responsibilities
GSAM Compliance is seeking a senior level legal and/or compliance professional to join the US Regulatory Compliance Group within GSAM Compliance. The role will primarily support the Chief Compliance Officers within the Group. The US Regulatory Compliance Group is primarily responsible for Funds that are subject to regulation under the Investment Company Act of 1940 and are organized as open end funds, closed end funds, BDCs, externally managed open-end funds and ETFs.
The candidate should have a thorough understanding of the regulatory requirements of the Investment Company Act of 1940. The candidate will be responsible for assisting in building and maintaining the compliance programs for the product lines described above; for assisting with board reporting and other aspects of GSAM’s relationship with the Board of Directors on Compliance-related issues; and for assisting with managing the compliance analysts and associates in the Group. The individual will also be assisting in overseeing the activities of GSAM, as the adviser to the Funds, and the other key service providers to the Funds (e.g. fund administrator, transfer agent). Oversight responsibilities will include, among other things, onsite visits, reviews of policies and procedures, and additional due diligence tasks and testing. The individual will interact with different business lines and control functions, including Portfolio Management, Product Development, Sales, Operations, IT, Legal, Controllers, Fund Services and Product Management.
The ideal candidate will have a strong interest in understanding the business models and operational processes underlying the products described above. He or she will be risk focused, and will have excellent judgment, excellent written and oral communication skills, strong organizational and project management skills, and will have the ability to work in a very fast paced environment. Attorneys with in-house and/or law firm experience in the Investment Company Act of 1940 a plus.
Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.