Derivatives and Structured Products Compliance Analyst

2 weeks ago

London, Greater London, United Kingdom Goldman Sachs Full time

Our Impact

We are a critical function within Goldman Sachs, dedicated to preventing, detecting, and mitigating compliance, regulatory, and reputational risks across the firm. We strengthen the firm's culture of compliance through our enterprise-wide risk management program. As an independent control function and part of the firm's second line of defense, we assess compliance, regulatory, and reputational risks; monitor for compliance with new or amended laws, rules, and regulations; design and implement controls, policies, procedures, and training; conduct independent testing; investigate, surveil, and monitor for compliance risks and breaches; and lead the firm's responses to regulatory examinations, audits, and inquiries.

Your Impact

We are seeking an Analyst/Associate to join our Derivatives and Structured Products team within Equities Compliance. You will provide first-line compliance support and advice to Sales, Trading, Structuring, and Strats within the Equity Derivatives, Systematic Trading Strategies, and Structured Products businesses.

How You Will Fulfill Your Potential

  • Provide real-time compliance advice to business personnel of all levels regarding the rules, regulations, and internal policies governing their businesses.
  • Serve as the compliance representative for business-led projects/initiatives.
  • Develop and update policies & procedures for applicable businesses.
  • Develop and deliver training as part of our ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as needed.
  • Partner with Federation Compliance and other support functions in resolving queries.
  • Collaborate with the broader Global Compliance Team on EMEA initiatives and projects as a representative for Equities Compliance.
  • Assist with the annual Compliance Risk Assessment.
  • Partner with Surveillance and Financial Crime Compliance in resolving surveillance alerts identified systematically or via desk escalation.
  • Assess the impact of new financial regulations, set internal Compliance policies, and provide appropriate guidance.
  • Coordinate and review responses to exchanges/regulators.
  • Review and provide Compliance sign-off for electronic trading activities relating to our various businesses.
  • Review and provide Compliance sign-off for new index approval requests, systematic trading strategies, and their associated marketing materials.

Skills & Experience We're Looking For

  • Analyst/Associate level
  • Degree level or equivalent (not essential if relevant working experience)
  • Experience in a financial services environment, preferably within compliance or risk management.
  • Strong understanding of regulatory frameworks governing financial markets.
  • Excellent analytical and problem-solving skills.
  • Strong communication and interpersonal skills.

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