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Market Surveillance Compliance Officer, Associate/Vice President

2 months ago

London, Greater London, United Kingdom Goldman Sachs Full time
Job Overview: Market Surveillance Compliance Officer

Our department is dedicated to the prevention, detection, and mitigation of compliance, regulatory, and reputational risks throughout the organization. As a member of the Global Compliance team, your responsibilities will include overseeing market abuse surveillance mechanisms within the Equities and FICC Sales and Trading sectors. This role entails identifying and prioritizing compliance and regulatory risks associated with market abuse regulations, formulating control measures, and reviewing surveillance alerts. You will work closely with various internal teams to improve surveillance coverage and operational efficiency.

Key Responsibilities:
  • Coordinate regional efforts for Market Abuse Risk Assessment (MARA)
  • Identify priority areas for control enhancements
  • Develop new surveillance scenarios
  • Propose governance improvements for trade surveillance
  • Analyze alert volumes and quality trends
  • Support regulatory examinations
  • Create systematic processes for issue escalation
  • Contribute to key metrics and indicators for the surveillance program
  • Assist in management reporting, including presentations at the board level
Qualifications:
  • Prior experience in Compliance, Surveillance, or Internal Audit
  • Strong analytical capabilities, with knowledge of data analysis tools such as Tableau, Alteryx, or Python
  • Familiarity with securities markets and regulations, particularly UK/EU MAR
  • Experience in conducting risk assessments in the context of market abuse
  • Proactive in recognizing non-compliance and suggesting solutions
  • Excellent communication and interpersonal skills
  • Ability to perform under pressure and manage multiple priorities
About Goldman Sachs:

Goldman Sachs is a premier global investment banking and securities firm that values diversity and inclusion. Established in 1869, we offer numerous opportunities for professional advancement and personal growth through a variety of programs and benefits. Discover more about our culture and career opportunities on our website.