Compliance, Equities Compliance

4 weeks ago

London, Greater London, United Kingdom NCAA (National Collegiate Athletic Association) Full time
OUR IMPACT
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.
YOUR IMPACT
This role is within the EMEA Global Banking and Markets Compliance Team covering Equities Sales and Trading businesses. The candidate will be a part of a team of 7, including their reporting manager, who reports directly to the EMEA Head of Global Banking and Markets Compliance.
The successful candidate would provide first line compliance support to the teams within the above business areas to ensure compliance with internal policies and procedures and external regulatory requirements. The candidate will be responsible for managing two individuals from the team (experience dependent) and will be responsible for ensuring day to day management of the business as well as relevant compliance deliverables.
The candidate should be able to: work in a multi-dimensional business that is heavily client focused, manage time effectively to respond to real-time queries and issues, have the ability to deliver on a diverse project workload and build and manage relationships with senior stakeholders. The candidate should also have ability to effectively manage, and delegate as required.
HOW YOU WILL FULFILL YOUR POTENTIAL
  • Provide real-time compliance advice to business personnel, with regards to the rules, regulation and internal policies that govern their businesses
  • Assisting with the interpretation and implementation of new rules/regulation/guidance/policy
  • Prevent, detect and mitigate compliance, regulatory and reputational risk and help to strengthen the firms culture of compliance
  • Act as a Compliance representative for any business lead projects/initiatives
  • Developing and updating policies and procedures when applicable
  • Help develop and deliver training as part of ongoing Compliance training programs tailored to suit the requirements of our various businesses, in addition to delivering ad-hoc training as and when required
  • Co-ordinate with the broader Global Markets Compliance Team on EMEA initiatives and projects
  • Investigating and coordinating responses to ad-hoc regulatory enquiries
  • Horizon scanning for upcoming regulatory changes
  • Provide expert knowledge and engage with external auditors as a subject matter expert where required.
SKILLS & EXPERIENCE WE'RE LOOKING FOR
  • VP level
  • Degree level or equivalent (not essential if has relevant working experience)
  • Experience in equities compliance
  • Pro-active, self-motivated, assertive and well organized
  • Able to work independently whilst remaining a strong team player
  • Forward looking, focused on streamlining processes and increasing efficiency
  • Adaptable with the ability to multi-task
  • Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
  • Effective communicator with the ability to build strong relationships with others
  • Analytical, inquisitive and detail-oriented
  • Keen interest in financial markets, products, and securities regulations, with a willingness to learn
ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

?? The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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