Regulatory Control Group Associate - London


Operations is a dynamic, multi-faceted division that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world. In addition, Operations provides essential risk management and controls to preserve and enhance the firm's assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow.



Looking for an Associate who is passionate about risk and control and can be a part of the Regulatory Oversight Group ("ROG") in their mission to provide assurance for non-financial regulatory compliance and monitoring functions.


The ROG is a group within Regulatory Operations that is responsible for ensuring that the processes, controls and data appropriately support the objectives of the regulatory obligations for which Regulatory Operations is responsible, and do so in a complete, accurate, and timely manner.


  • Risk of Regulatory action is mitigated by proactive oversight of our operating environment
  • Establishing a scalable and efficient process by which we can demonstrate to the Regulators self-oversight within a structured and well governed model
  • Implementing quality controls over the data that supports Regulatory Operations' core functions
  • Verifying regulatory compliance and where applicable accuracy of data utilized in and reported for regulatory obligations
  • Supporting the our partners in Operations with their documented improvement plans
  • Partner with other teams in operations and the federation to oversight key governance metrics and forums
  • Assessing inherent risk and level of control framework supporting obligation

Job Summary & Responsibilities

The Regulatory Oversight Group ("ROG") provides assurance for non-financial regulatory compliance and monitoring functions.

The Associate would be involved in helping the team develop and achieve its strategic objectives, with Assessment & Analytics driving a notable proportion of their overall day to day responsibilities. Performing Assessments would entail validating the data reported to our regulators within Asia/Europe and ensuring functions carried out by the firm are compliant with our regulatory obligations. They will be accountable for the quality of the information we send and maintaining the right reporting environment to ensure issues are quickly escalated and remediated. The candidate will need to engage with their global peer group, legal, compliance and internal audit functions in the evolution of the methodology and framework, ensuring that they have a detailed understanding of Regulation as it pertains to our Asia/European business.

We will also expect the successful candidate to contribute in the continuous build of our Analytics and Metrics Strategy. More than ever, senior management, as well as Regulatory Operations teams broadly, are looking at ROG to provide meaningful metrics. Our partners in Operations and Technology are gathering and managing a vast array of data and processes which contribute to the firm's regulatory compliance; our role is to provide assurance to the firm in respect to our compliance.



  • The candidate should possess a minimum of 3-4 years overall experience
  • Strong teamwork is essential, as well as the ability to build "mutually beneficial" relationships with others. Working across geographic as well as cultural borders to ensure the success of the ROG functions
  • Strong organizational skills and the ability to cope with rapidly changing priorities are also essential
  • Strong attention to detail and the ability to keep track of a large and varied workload
  • Experience with data analytics over large data sets, understanding the detail and identifying possible issues with accuracy, completeness
  • Highly articulate with strong verbal and written communication skills
  • Consistently able to produce high quality work, specifically updates of the suitability of our risk and control agenda to senior executives
  • Strong analytical skill set and a curiosity for risk enhancements
  • Proactively seeks and undertakes appropriate training to further enhance client / market / industry knowledge


  • Energetic team player, able to work well inside a group
  • Flexible individual, able to be learn quickly
  • Desire to work in a fast-paced environment
  • Ability to forge strong rapport with our global team


  • Experience with a Regulatory or Audit background


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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