Derivatives Compliance Expert

2 months ago

London, Greater London, United Kingdom Goldman Sachs Full time

At Goldman Sachs, we empower our people to make a difference.

We are seeking a highly motivated and experienced Executive Director to join our Derivatives and Structured Products team within Equities Compliance. In this role, you will provide first-line compliance support and guidance to Sales, Trading, Structuring, and Strats teams across Equity Derivatives, Systematic Trading Strategies, and Structured Products.

Your Impact:

  • Provide real-time compliance advice to business personnel at all levels, ensuring adherence to regulations governing their activities.
  • Act as the Compliance representative for business-led projects and initiatives, ensuring regulatory compliance throughout the process.
  • Develop and update policies and procedures for applicable businesses, keeping them aligned with evolving regulatory requirements.
  • Create and deliver engaging training programs tailored to meet the specific needs of various businesses, fostering a culture of compliance awareness.
  • Collaborate effectively with Federation Compliance and other support functions to resolve queries and ensure seamless operations.
  • Represent Equities Compliance in EMEA initiatives and projects, contributing to the firm's overall compliance strategy.
  • Assist with the annual Compliance Risk Assessment, identifying potential vulnerabilities and recommending mitigation strategies.
  • Work closely with Surveillance and Financial Crime Compliance teams to address surveillance alerts and ensure regulatory adherence.
  • Evaluate the impact of new financial regulations, establishing internal Compliance policies, and providing guidance to business units.
  • Review and approve electronic trading activities related to various businesses, ensuring compliance with relevant regulations.
  • Review and approve index approval requests, systematic trading strategies, and associated marketing materials, safeguarding against regulatory breaches.

About You:

You possess extensive experience in Equities Derivatives Compliance, a deep understanding of capital markets, and a strong grasp of relevant regulations (MiFID, MAR/MAD, COBS, exchange rules). Your proactive, self-motivated nature, combined with your ability to work independently and collaboratively, makes you an ideal candidate for this role.

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