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Asset & Wealth Management Operations - Investment Guidelines - Associate - Bengaluru

Goldman Sachs Bengaluru, Karnataka (Onsite) Full-Time

ASSET AND WEALTH MANAGEMENT 

Bringing together traditional and alternative investments, we provide clients around the world with a dedicated partnership and focus on long-term performance. As the firm’s primary investment area, we provide investment and advisory services for some of the world’s leading pension plans, sovereign wealth funds, insurance companies, endowments, foundations, financial advisors and individuals, for which we oversee more than $2 trillion in assets under supervision. Working in a culture that values integrity and transparency, you will be part of a diverse team that is passionate about our craft, our clients, and building sustainable success. We are: 

  • Investors, spanning traditional and alternative markets offering products and services.  
  • Advisors, understanding our clients’ priorities and poised to help provide investment advice and strategies that make sense for their portfolios. 
  • Thought Leaders, providing timely insights across macro and secular themes to help inform our clients’ investment decisions. 
  • Innovators, using our suite of digital solutions to help our clients address complex challenges and meet their financial goals. 

OPERATIONS

Operations is a dynamic, multi-faceted function that partners with all parts of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. In addition, Operations provides essential risk management and control to preserve and enhance the firm’s assets and its reputation. For every trade agreed, every new product launched, or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow. 

YOUR IMPACT

Are you looking to apply your client service and analytical skills while deepening your understanding of asset management? Our Investment Guidelines  team is seeking a professional who is looking to partner with our diversified Asset Management Portfolio Managers and global business counterparts to provide best in-class client experience to define solutions and lead change across the operational infrastructure.

The Associate will be responsible for performing daily surveillance on some of the business strategies we support to ensure AMD’s compliance with client and regulatory guidelines. The ideal candidate will be exposed to a number of different strategies including fixed income, quantitative equity, fundamental equity and global portfolio solutions, across a multitude of financial instruments. The candidate will be expected to learn quickly and add value in understanding and clearing any guideline breaches with the respective trading, portfolio manager, and compliance teams. 

OUR IMPACT

The Investment Guideline team sits within Investmentoperations which has primary responsibility of coding investment guidelines into compliance monitoring systems and providing pre-trade & post-trade oversight . These functions cover a wide range of clients and a complex product range, which include equities, fixed income, currency and derivatives. This involves extensive interaction with traders, portfolio managers and client relationship managers to ensure effective oversight for existing business and also to shape and implement monitoring related solutions for new clients, products, strategies, and system architecture.

Asset and Wealth Management Segment (AWM) is the investment management arm providing global investment opportunities to a substantial and diversified client base including institutions, governments and high net worth individuals. AWM has become one of the pre-eminent investment management organisations globally, with responsibility for over $800bn assets under management.

JOB SUMMARY AND RESPONSBILITIES

  • Holistic ownership and understanding of client accounts, trade life-cycle and act as a single point of contact for AMD business for any guideline related issues. Types of accounts include separately managed accounts, mutual funds, sub-advised funds, pooled vehicles, hedge funds.
  • Perform daily portfolio and trading surveillance to ensure that AWM meets strict regulatory and fiduciary responsibilities across all types of financial instruments and portfolio management strategies 
  • Work with the Traders, Portfolio Management team, Compliance and other internal functional areas of AWM in order to resolve client and regulatory investment guideline breaches. 
  • Conduct independent review of the rules created by the coding resources of the team
  • Provide monthly,quarterly and annual certifications of investment guidelines compliance to clients
  • Partner and liaise with client implementation team to qualify new business, implement account events, and ensure the adequacy of account surveillance.
  • Proactively review indicators of operational issues/concerns with the goal of resolving such issues before client impact.
  • Providing effective thought leadership in navigating evolving financial regulatory landscape and helping to develop technological solutions to build appropriate architecture.
  • Develop and draft applicable policies and procedures. 

BASIC QUALIFICATIONS

  • Bachelor’s degree required
  • Associate level with around 4 years of professional experience in the financial services industry 
  • Knowledge of operational aspects of trade management or guideline monitoring systems
  • Be highly collaborative, team-oriented and strong consensus builder
  • Demonstrate ability to partner across product groups, regions and functional responsibilities. 
  • Possess strong communication and interpersonal skills both written and oral

PREFERRED QUALIFICATIONS

  • Understanding of Equity, Fixed Income, Currencies and Derivatives 
  • Comfortable escalating to Sales, Trading, Compliance, and Legal 
  • Strong Microsoft Excel skills 
  • Experience working with guideline monitoring systems like Sentinel, Charles River etc will be a plus
  • CFA/FRM level 1 or other industry certifications  will be an added advantage
  • Be a strategic thinker, possess strong facilitation and data gathering skills
  • Effective problem solver, attention to detail and ability to work to tight deadlines under pressure
  • Risk management focus

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

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

© The Goldman Sachs Group, Inc., 2024. All rights reserved.

Goldman Sachs is an equal employment/affirmative action employer

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