Asset Management Division - Alternatives Private KYC Group - Senior Associate/Vice President - Londo

Goldman Sachs
London, United Kingdom
25 Sep 2022
29 Sep 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Our Asset Management Alternatives Private KYC Group is seeking a professional to manage, lead and oversee the regional KYC team and act as main point of contact for local partners/teams/clients at a senior level. We support every deal team in the Alternatives Private division and work with the most senior members of the organization to facilitate an excellent client onboarding experience while mitigating risks associated with fulfilling the requirements associated with local regulations. We are the experts in Know Your Client (KYC) requirements and help manage communications with our clients/partners on obtaining the necessary documentation while treating the transactions with the upmost sensitivity.
Operations is a dynamic, multi-faceted division that partners with all areas of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. Alongside this vital service delivery role, Operations provides essential risk management and control, preserving and enhancing the firm's assets and its reputation. Operations span all product lines and markets, serving as internal business partners who develop the processes and controls, and help to specify the systems that deliver accuracy, timeliness and integrity to our business.
The AM Alts Pvt Operations support the AM Alts Pvt Division, which is the firm's long term principal investing group tasked with raising capital and investing in equity (corporate / growth), real estate, and credit.
The AM Alts Pvt KYC Group sits within AM Alts Pvt Operations and manages the control framework and oversight of a broad spectrum of firm policies that impact the client on-boarding process. The team closely works with Policy & Quality Analytics, Legal, Financial Crime & Compliance teams for successful implementation of policy and control oversight to meet regulatory obligations. The team provides opportunity for an experienced, dynamic, and risk-aware individual to take part in shaping and ensuring compliance with the control framework related to a broad spectrum of firm policies, including but not limited to Know-Your-Client, Client Implementation and Enhanced Due Diligence. We also endeavor to provide an excellent client/partner experience while helping to educate our stakeholders on the nuances of requirements per region.
  • Manage and be overall responsible for the AM Alts Pvt KYC team in the region and act as main point of contact for escalations from business/internal teams
  • Oversee that the team partners with key stakeholders (Business, Financial Crime & Compliance, Legal, Operations, Middle Office) in a fast paced environment to implement a seamless front to back onboarding process and assist with the establishment of new client relationships to facilitate deal investments
  • Act as a subject matter expect on the Firm's Anti Money Laundering policies, procedures and regulatory framework (such as AML/KYC regulations, Dodd Frank, EMIR, MiFID, FATCA, etc) and supervise that the team adheres to it during the client onboarding/account opening process
  • Perform quality assurance reviews on cases delivered by the team, where necessary, to ensure they are in line with internal policies and regulatory standards
  • Provide ongoing training and support to junior team members and partner with Compliance to deliver regular AML trainings to internal teams (Business, MO, Operations) that are involved in the onboarding process
  • Work closely with Compliance team to implement new regulations and lead the development of new policies and procedures to reflect changing regulatory requirements
  • Lead strategic initiatives in order to improve the process efficiency and customer experience
  • Assist Compliance team in dealing with regulatory enquiries relating to the firm's AML policies and processes.
  • Lead remediation projects to address AML/Financial Crime compliance findings identified by Internal Audit
  • Report desk metrics, key risk indicators, risk control self-assessment and provide regular AML risk updates to senior stakeholders in Operations, Legal, Financial Crime Compliance and the MLRO
  • Act as line manager for team members (incl. ongoing feedback, performance reviews) and ensure they are motivated and enthusiastic in delivering the expected results
  • Minimum 4+ years in a similar role within financial services with extensive senior AML management experience
  • Knowledge of financial markets and products
  • Knowledge of Customer Identification Programs (CIP)/Know Your Customer (KYC) and relevant regulations is a must
  • Knowledge of corporate structures and the impact they have on the KYC/AML process
  • Bachelor's degree required
  • Excellent leadership and people management skills
  • Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail
  • Aptitude for building relationships and ability to communicate complex issues to a wide array of internal stakeholders at all levels of the organization as well as clients with differing levels of product experience
  • Self-motivated and proactive team player, who takes ownership and accountability of projects, has strong organizational skills as well as the ability to effectively manage competing priorities
  • Flexible and able to work well under pressure in a team environment
  • Experience in providing excellent client service
  • Excellent written and verbal communication skills
  • Proactive, self-motivated


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