Compliance, Securities Division, ESSG Compliance, VP, 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
BUSINESS UNIT AND ROLE OVERVIEW
Based within the European Special Situations Group ("ESSG"), will work as part of the EMEA Securities Division Compliance Team to provide compliance coverage for all aspects of the ESSG business. ESSG is a multi-product investing and financing group within the Securities Division. ESSG focuses primarily on distressed, special situations, and growth capital investment opportunities.
The candidate will be required to work closely with the deal teams and traders, and also other departments, such as Legal, Conflicts, Controllers, Operations, Credit and Internal Audit.
- Providing analysis and guidance on individual transactions and deals, trade specific regulatory compliance, , new activities/products and business initiatives, and public-private side issues
- Assisting in due diligence reviews on investment companies and loan portfolio acquisitions
- Monitoring of business activity to ensure compliance with appropriate rules, regulations & firm policies
- Creating and implementing compliance training programs for business unit professionals
- Developing policies, procedures and best practices for each business unit
- Keeping up-to-date with relevant regulatory/rule changes including the analysis and implementation of such regulatory/rule changes (e.g. MiFID II, GDPR, etc).
- Participating in regulatory and internal investigations and audits
- At least 5 years of compliance, legal, accounting, business or other relevant experience involving the securities or financial businesses
- Good understanding of control of information issues in the loans market, MAR, MIFID II, Volcker Rules, EMIR and GDPR
- Good interpersonal skills, a team player who is able to prioritize in a fast moving, high pressure, changing environment
- Excellent communication skills both written and oral.
- Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
- Ability to handle multiple tasks simultaneously and work under pressure
- Foreign languages would be an advantage
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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