Compliance Officer, Financial Crime Compliance, Investigations Team, VP, London



GLOBAL COMPLIANCE

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 UNIT AND ROLE OVERVIEW

Financial Crime Compliance (FCC) has primary responsibility for the execution of the firm's enterprise-wide Anti-Money Laundering (AML), anti-bribery, and government sanctions compliance programs and, among other things, performs enhanced due diligence and government sanctions screening , as well as surveillance and investigations designed to identify potential terrorist financing, money laundering, bribery, market abuse, or other suspicious activity.

OPPORTUNITY

FCC's team covering Europe, the Middle East and Africa (EMEA), which is primarily based in London, is seeking an experienced professional with relevant skills and experience to work in the FCC EMEA investigations team, carrying out investigations to review all escalations received which may or may not require a report to a regulator/s. The various escalation sources include, however are not limited to, the business, subpoena enquiries, surveillance alerts and ad-hoc requests.

The individual will be expected to be able to identify and fully document in accordance with Goldman Sachs' written policies and procedures:

  • all forms of market abuse;
  • suspicious asset movements;
  • fraud; and
  • employee matters.

Additional responsibilities may include:
  • management information reportin
  • enhancing policies and procedures;
  • training; and
  • working with internal audit when they conduct their reviews.

To achieve this, the relevant candidate will be required to:
  • utilise a variety of internal and external systems and databases in order to complete investigations;
  • liaise with all other departments, when needed and if it is appropriate, in order to ensure a thorough investigation is completed;
  • present a summary and proposed conclusion to management in a timely and clear manner, including proposals to implement appropriate steps to mitigate risk and/or monitor it
  • Report suspicious activities to regulators.


SKILLS AND EXPERIENCE WE ARE LOOKING FOR
  • Clear and practical understanding of FCA regulation relating to market abuse
  • Good knowledge of anti-money laundering, anti-bribery and corruption legislation and regulation
  • Good knowledge of financial markets and products preferably equities and equities derivatives . Strong understanding of the correlation between asset classes
  • Previous investigations background a must
  • Fluency in a foreign language desired (Spanish and/or German or Eastern European languages)
  • Excellent written and oral communication skills
  • Ability to adapt writing style to the requirements of the specified Goldman Sachs procedures
  • Good excel skills
  • Strong analytical and risk assessment skills
  • Ability to adapt to new changes and new challenges
  • Ability to prioritize work flows and ensure deadlines are met
  • Ability to forge strong relationships with colleagues
  • Ability to work independently and yet still be team-oriented
  • Proactive, self-motivated, detailed oriented and well-organized


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.


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