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Asset & Wealth Management Operations - Guidelines -Senior Analyst-Bengaluru

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Goldman Sachs

1mo ago

  • Job
    Full-time
    Junior Level
  • Business, Operations & Strategy
    Banking & Finance

AI generated summary

  • You need a Bachelor’s degree, 2 years of financial services experience, knowledge of guideline monitoring, strong communication skills, and a focus on risk management. Self-starter and problem solver essential.
  • You will ensure compliance with investment guidelines, conduct daily surveillance, collaborate with teams to resolve breaches, review coding rules, certify compliance, and report metrics to leadership.

Requirements

  • Bachelor’s degree required
  • Analyst or Senior Analyst level with around 2 years of professional experience in financial services
  • Knowledge of operational aspects of guideline monitoring systems or trade management
  • 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
  • Understanding of Equity, Fixed Income, Currencies and Derivatives
  • Comfortable escalating to Sales, Trading, Compliance, and Legal
  • Self-starter and motivated, committed to understanding new concepts and ever changing regulations
  • 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

Responsibilities

  • Partner with the AWM business for investment guideline related issues covering a range of client accounts and funds with the shared goal of risk mitigation
  • Perform daily portfolio and trading surveillance to ensure that AWM meets client stipulated guidelines and applicable regulations across all types of financial instruments and portfolio management strategies
  • Connect daily with the traders, portfolio managers, 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
  • Run programs that transform exception management systems, processes and workflows
  • Provide monthly reporting of metrics to senior leadership including insightful analysis of the processes

FAQs

What is the job title for this position?

The job title is Asset & Wealth Management Operations - Guidelines - Senior Analyst.

Where is this position located?

This position is located in Bengaluru.

What qualifications are required for this role?

A Bachelor’s degree is required along with around 2 years of professional experience in financial services.

What skills are essential for this position?

Essential skills include strong communication and interpersonal skills, ability to collaborate and build consensus, knowledge of operational aspects of guideline monitoring systems, and problem-solving abilities.

What types of financial instruments will the candidate be working with?

The candidate will be working with equities, fixed income, currencies, and derivatives.

Is prior knowledge of regulatory compliance necessary for this role?

Yes, the candidate should have knowledge of compliance, particularly in relation to client and regulatory investment guidelines.

What kind of work will be involved daily in this role?

Daily tasks will include performing portfolio and trading surveillance, connecting with traders and portfolio managers, and resolving investment guideline breaches.

What kind of reports will the Senior Analyst be responsible for?

The Senior Analyst will be responsible for providing monthly, quarterly, and annual certifications of investment guidelines compliance to clients, and running programs that transform exception management systems and processes.

Does Goldman Sachs promote diversity and inclusion within the workplace?

Yes, Goldman Sachs is committed to fostering and advancing diversity and inclusion, providing opportunities for professional and personal growth.

Is mentorship or training provided for new hires?

Yes, Goldman Sachs offers training and development opportunities for its employees.

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Goldman Sachs

Finance
Industry
10,001+
Employees
1869
Founded Year

Mission & Purpose

Goldman Sachs is a global investment banking, securities, and investment management firm. They offer a range of financial services to corporations, financial institutions, governments, and individuals. Goldman Sachs' primary activities include investment banking, asset management, securities trading, and providing advisory services. Their ultimate mission is to be a leading global financial institution, providing superior financial expertise and solutions to their clients. The purpose of Goldman Sachs is to help their clients achieve their financial goals, manage risk, and navigate complex markets. They aim to drive economic growth, foster innovation, and create long-term value for their clients, shareholders, and the communities they operate in. Goldman Sachs is committed to upholding the highest standards of integrity, professionalism, and client service, serving as a trusted partner and advisor in the world of finance.

Culture & Values

  • Partnership

    We prioritize collaboration and believe in the strength of the collective, creating a culture that fosters teamwork and belonging in the pursuit of professional and personal growth.

  • Client Service

    We lead with a service mindset, working to earn our clients’ trust and exceed their expectations by understanding and overdelivering on their goals.

  • Integrity

    We hold ourselves accountable to the highest ethical standards, insisting on transparency and vigilance from our people as we learn from our experiences and make decisions that instill a sense of pride in our firm.

  • Excellence

    We aspire to nothing less than excellence, striving for exceptional performance and superior results for our clients, our shareholders, and our communities.

Benefits

  • Holiday and Vacation Policies

    We offer competitive vacation policies based on employee level and office location. This is in addition to any number of statutory and public holidays as determined by each office. 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

    The firm provides a number of resources and offerings designed to help our employees achieve their personal financial goals. 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 — from buying a home, to navigating market volatility and investments, legacy and estate planning, tax strategies, and will preparation.

  • 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.

  • Childcare / Family Care

    In some offices, 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.

  • Flexible Working

    Based on manager approval, the following arrangements may be available to help employees meet their personal and family responsibilities: part-time schedules, job sharing, telecommuting, and alternate hours.