Compliance, Global Compliance Employee Services, Analyst/Assoc, 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
JOB SUMMARY & RESPONSIBILITIES
This is a position with the Global Compliance Employee Services Department within the Compliance Division in London, which has responsibility for managing various FCA requirements under the Senior Managers and Certification Regime (SMCR), such as Senior Manager applications and Certified Persons assessments; managing the registration of individuals who require licensing with regulators and exchanges, in order that they can undertake financial services related activities; and the handling of queries relating to employee related disclosures of externally held brokerage accounts and private investments or outside interests that employees may wish to participate in.
- Collation, preparation and cross verification of data and information about individuals who require registration by the firm with financial service organisations. This will include the use of various internal and external systems for the completion of the prescribed information that needs to be submitted to these organisations.
- Reconciliation(s) of data records held by the firm with information stored by third party organisations.
- Reviewing and updating documentation required under SMCR, such as the Management Responsibilities Map.
- Gaining a thorough knowledge and understanding of the policies and requirements within the various business units to be able to advise the business.
- Reviewing and drafting of regulatory filings in relation to individuals and firm events.
- Reviewing new regulations that would affect the team / business and analyse the impact.
- Working with the Technology division on system developments to automate processes
- Conducting training on rules, policies and procedures to new team members and other employees of the firm.
- Filing, logging and safe storage of data records associated to these activities.
- Contact with individuals regarding the status of their registration and licensing.
- Answering queries arising from employees relating to firm policies in respect of registrations, externally held brokerage accounts and private investments or outside interests that employees may wish to participate in.
- Liaising and coordinating with colleagues in global locations.
SKILLS / EXPERIENCE
- Graduate or equivalent with a minimum of 3 years' experience in an office environment, preferably within the Compliance Division of a financial services company.
- Good written and oral communication skills.
- Must understand the importance of meeting tight deadlines.
- Sound judgement.
- Ability to interpret and analyse regulations.
- Concern for accuracy, with good attention to detail.
- Must work well in a team environment and exhibit a willingness to contribute to a wide array of projects and daily tasks.
- Keen to learn new information and adopt new skills.
- Computer literate, preferably with sound knowledge of Microsoft Excel, Outlook, Word and PowerPoint.
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.
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