Compliance, Equities Compliance, Prime Brokerage & Synthetic Trading, Associate, London
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
RESPONSIBILITIES AND QUALIFICATIONS
This is a role within the European Securities Division Compliance Team with a primary focus on the Prime Brokerage, Futures and Synthetic Trading businesses. The successful candidate would provide first line compliance support to the teams within the above business areas to ensure compliance with internal policies and procedures and external regulatory requirements. The candidate should be able to: work in a multi-dimensional business that is heavily client focused, manage time effectively to respond to real-time queries and issues, and have the ability to deliver on a diverse project workload.
• Provide real-time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses
• Prevent, detect and mitigate compliance, regulatory and reputational risk and help to strengthen the firms culture of compliance
• Act as a Compliance representative for any business lead projects/initiatives
• Developing and updating policies & procedures when applicable
• Help develop and deliver training as part of ongoing Compliance training programs tailored to suit the requirements of our various businesses, in addition to delivering ad- hoc training as and when required
• Co-ordinate with the broader Securities Division Compliance Team on EMEA initiatives and projects
• Co-ordinate with Prime Brokerage, Futures and Synthetic Trading Compliance counterparts in the US and Asia to drive efficiency and consistency
• Assisting with the interpretation and implementation of new rules/regulation
• Investigating and coordinating responses to ad-hoc regulatory enquiries
• Associate level
• Degree level or equivalent (not essential if has relevant working experience)
• Pro-active, self-motivated, assertive and well organized
• Able to work independently whilst remaining a strong team player
• Forward looking, focused on streamlining processes and increasing efficiency
• Adaptable with the ability to multi-task
• Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
• Effective communicator with the ability to build strong relationships with others
• Analytical, inquisitive and detail-oriented
• Keen interest in financial markets, products, and securities regulations, with a willingness to learn
ABOUT GOLDMAN SACHS
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
See Inside the Office of Goldman Sachs
The Goldman Sachs Group, Inc. is a leading global investment banking, securities, and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments, and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
Back to top