Compliance, Global Investment Research, Associate/VP - 6 Month Fixed Term Contract
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
Business Supported: Global Investment Research Division (GIR). Goldman Sachs' Global Investment Research division delivers value-added research to clients in the equity, fixed income, currency and commodities markets. GIR produces original, fundamental research and analysis of industries, companies and economies. GIR teams continually identify and analyze financial information, strategic issues and trends that affect companies, industries and markets on a regional and global scale.
Region Covered: Seat will be in London. Coverage will be for EMEA region (Europe, Middle East & Africa), which includes Moscow, Dubai, Frankfurt, and Paris-based research analysts.
General Description of Role: Substantial initiative, creativity and drive, together with the ability to work closely and comfortably with research analysts, are essential attributes of all group members. Because the role requires substantive interaction with research analysts and advising on rules and laws impacting research, candidates with regulatory, compliance, legal, or investigatory experience, who can function in a compliance or legal arena, are being sought. Work with global team members located in New York, London, Hong Kong, Beijing, Tokyo, Australia, and Bengaluru.
- Strong familiarity with business practices and acts as a resource on a daily basis for compliance, regulatory, policy and reputational issues. Work closely with Compliance and Legal personnel in other GS divisions on advisory issues impacting GIR.
- Policies and Procedures. Ensure that the division has appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates, and new policies. Work closely with Legal and the business to fulfill requirements.
- Design, execute, and deliver live and online training on divisional policies and procedures.
- Controls/Surveillance/Testing. Execute surveillance, including email and trading reviews, and monitor testing of policies and procedures.
- Experience with / knowledge of equity markets is extremely helpful
- More than 3 years in financial industry or working on financial industry issues for clients
- Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
- Quick learner who can adapt well to a principles-based regulatory and business environment
- Ability to handle multiple tasks simultaneously, work effectively both independently and in a team
- Organized, detail-oriented, enthusiastic and professional
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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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.
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