Compliance Executive Director

4 weeks ago

London, Greater London, United Kingdom Goldman Sachs Full time
Job Title: Compliance Executive Director

At Goldman Sachs, we are seeking a highly skilled Compliance Executive Director to join our FICC Compliance Team in London. As a key member of our team, you will be responsible for providing compliance coverage for our market-leading Rates business.

About the Role:
  • Provide real-time compliance counsel to the Rates business units on relevant rules, regulations, and internal policies.
  • Develop and implement proactive risk mitigation strategies on regulatory and policy matters, including individual transactions, new products, and business initiatives.
  • Assist in the interpretation and implementation of new rules and regulations.
  • Design and deliver training programs for the Rates business units.
  • Develop and deploy second-line controls and assist the first line in developing their controls.
  • Review new algorithms and electronic-related business initiatives.
  • Coordinate with the broader FICC and Equities Compliance Team, as well as Federation and Financial Crime Compliance, on initiatives and projects.
  • Participate in compliance regulatory and internal investigations and audits.
  • Liaise with local regulators and Exchange/MTF operators and coordinate responses to ad-hoc regulatory inquiries.
  • Lead and/or execute the Compliance Risk Assessment for the Rates businesses.
Requirements:
  • Vice President level with a minimum of 5 years of Markets Compliance experience gained by working on a trading floor for a Tier 1 house or others with sophisticated algorithmic/electronic business units and/or complex financing capabilities.
  • Degree-level or equivalent qualification (not essential if has relevant working experience).
  • Professional qualifications such as CA, CFA, Solicitor, or Bar exams an advantage.
  • Excellent practical understanding of FICC asset classes (both Cash and Derivatives), and Rates in particular.
  • Proactive, self-motivated, assertive, and well-organized.
  • Ability to work independently and yet remain a strong team player.
  • Forward-looking, focused on improving and streamlining controls and processes.
  • Ability to handle multiple tasks simultaneously and work to tight deadlines.
  • Excellent communication skills, both written and oral.
  • Languages an advantage (particularly French and/or German).
  • Ability to code or understand code would be an advantage.
  • Previous experience of trading FICC products would be an advantage.
  • Proactive approach to problem-solving.
  • Deep interest in the financial markets and a willingness to continually learn.
  • Excellent understanding of EU and US regulations (MIFID II, MAR, Benchmarks, REMIT, FX Global Code, LBMA Precious Metals Code, EMIR, CFTC, SEC...).
  • Ability to enrich and thrive in an international and diverse, inclusive environment.
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'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.

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

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