Compliance, Investment Management, Honest Dollar, Analyst/Associate, Austin

Job description

Job Summary & Responsibilities

WHO WE ARE
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

HONEST DOLLAR  
Honest Dollar is part of our Investment Management Division (IMD) and becoming a globally accessible portal for retirement services. Leveraging cutting edge technology and innovative user experience, we deliver low-cost, transparent savings, and investing solutions. Honest Dollar is a company dedicated to helping people save in a society built on spending.

THIS ROLE
This position will focus on the investment advisory compliance program for the firm.  He or she will work closely with the Chief Compliance Officer (CCO) in building a robust risk and compliance management framework that addresses the applicable requirements detailed in the Investment Advisers Act of 1940 as well as all other regulatory guidance relevant to the business in which Honest Dollar is engaged.

Essential Duties and Responsibilities
To perform this job successful, an individual must be able to perform each of the following satisfactorily:
• Contribute to the creation of the annual testing of the compliance program for the Adviser pursuant to Rule 206 (4)-7
• Periodic review and updating of the Form ADV
• Uphold the written policies and procedures adopted by the firm
• Assist, when needed in the notification of incomplete compliance requirements to firm associates (i.e. Mandatory Training, Associate Disclosure Requirements)
• Advising the firm’s management team in the development, operation and conduct of the firm’s investment advisory software products
• Ability to evaluate a client grievance and handle the matter as required by industry regulations
• Interact with management, product leaders, technology teams, marketing, sales, and operational staff and others in a resourceful and constructive manner
• Ability to conduct analysis on investment related matters and provide a written findings report to the CCO
• Stay abreast to current SEC regulatory rules and regulations and assess the impact on the investment advisory operations of the firm
• Review, comment and approve marketing and business material (i.e., print, audio, video, etc.)  while ensuring that the submitted content meets all of the relevant regulatory guidance
• Performs additional projects and tasks as assigned

Basic Qualifications

• The candidate must possess extensive knowledge of investment advisory rules and regulations
• Coordinating multiple projects/assignments and completing tasks timely and accurately
•  Attention to detail with excellent verbal and written communication skills and the ability to convey information to internal and external stakeholder in a clear, focused and concise manner
• Strong analytical skills, including the ability to identify problems and provide effective solutions
• Ability to identify the various forms of risk to the firm and escalate them through the proper channels
• Demonstrate strong leadership skills and be comfortable defending his/her positions as well as the rationales for alternative approaches
• Commitment to promoting a culture of compliance within the firm through professionalism, accountability, teamwork and client focus
• Bachelor’s degree in Finance, Business, Economics or related Field
• Must possess at least 3-7 years of investment advisory compliance experience
• Familiarity with SEC and State examination protocols of RIA firms preferred
• Series 65 required or ability to obtain within 90 days of hire
• Series 7 and 24 a plus

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.  © The Goldman Sachs Group, Inc., 2015.  All rights reserved.