Compliance, Securities Division, Equities Compliance, Analyst/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
You will provide support to the various areas within the Cash Equity sphere which includes Sales and Sales Trading and Trading for the Pan European Shares, Program Trading, Direct Market Access and the Volatility Trading desks.
You will be able to work in a multi-dimensional business that is heavily client focused, and organize their time to deal with real-rime issues as well as delivering 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
• Compliance representative for business lead projects/initiatives
• Developing and updating policies & procedures applicable to the Cash Equity businesses
• Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual 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 as a representative for Equities Compliance
• Assisting with the interpretation and implementation of new rules/regulation
• Coordinating responses to ad-hoc regulatory enquiries
SKILLS AND EXPERIENCES WE ARE LOOKING FOR
• Analyst or Associate level
• Degree level or equivalent (not essential if has relevant working experience)
• Experience working in a compliance function preferably within the Equities advisory space
• Pro-active, self-motivated, assertive and well organised
• Ability to work independently and yet remain a strong team player
• Forward looking, focused on streamlining processes and increasing efficiency.
• Flexible and ability to multi-task
• Proactive approach to problem solving
• Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
• Interest in the financial markets and a willingness to learn
• Personable, level headed and able work in harmony with others
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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