Compliance Expert

2 months ago

London, Greater London, United Kingdom Goldman Sachs Full time

About the Role

We are seeking an experienced Executive Director to join our Equities Compliance team within Goldman Sachs. As a key member of our team, you will provide first-line compliance support and advice to our Sales, Trading, Structuring, and Strats teams within the Equity Derivatives, Systematic Trading Strategies, and Structured Products businesses.

Key Responsibilities

  • Provide real-time compliance advice to business personnel on rules, regulations, and internal policies governing their businesses.
  • Act as a compliance representative for business-led projects and initiatives.
  • Develop and update policies and procedures applicable to our businesses.
  • Design and deliver training as part of our ongoing Compliance training program, tailored to meet the individual needs of our various businesses.
  • Partner with Federation Compliance and other support functions to resolve queries.
  • Coordinate 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 to resolve 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 and regulators.
  • Review and provide Compliance sign-off for electronic trading activities related to our various businesses.
  • Review and provide Compliance sign-off for new index approval requests, systematic trading strategies, and their associated marketing materials.

Requirements

  • Degree level or equivalent (not essential if relevant working experience).
  • Significant experience within Equities Derivatives Compliance required.
  • Good understanding of capital markets, with benchmarks/derivatives/structured products knowledge an advantage.
  • Experience of performing a Compliance advisory role in a global investment bank and understanding of applicable regulations and rules (MiFID, MAR/MAD, COBS, exchange rules) an advantage.
  • Understanding of FCA Consumer Duty an advantage.
  • Pro-active, self-motivated, enthusiastic, well-organized, and keen to learn.
  • Ability to work independently, be a strong team player, and manage relationships/stakeholders at all levels.
  • Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure.

  • Compliance Expert

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Consultant RoleOur client, a leading Compliance Consulting Firm, is seeking an experienced Compliance practitioner to join their team. As a Compliance Consultant, you will be responsible for providing strategic compliance advice to clients and ensuring they meet regulatory requirements.Key Responsibilities:Act as the primary compliance resource...

  • Compliance Expert

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Consultant RoleOur client, a leading Compliance Consulting Firm, is seeking an experienced Compliance practitioner to join their team. As a Compliance Consultant, you will be responsible for providing strategic compliance advice to clients and ensuring they meet regulatory requirements.Key Responsibilities:Act as the primary compliance resource...

  • Senior AML Compliance Expert

    2 weeks ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job DescriptionWe are seeking an experienced Senior AML Advisor to join our expert team at AJ Fox Compliance in London. This is an exciting opportunity for professionals with a strong background in regulatory compliance, AML and financial crime risk management.We're looking for someone with at least three years of experience in financial crime within the...

  • Senior Regulatory Compliance Expert

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Senior Regulatory AdvisorWe are seeking an experienced Senior Regulatory Advisor to join our expert team at AJ FOX COMPLIANCE in London.This is an exciting opportunity for professionals with a strong background in regulatory compliance, AML and financial crime risk management.We're looking for someone with at least three years of experience in financial...

  • Senior Regulatory Compliance Expert

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Senior Regulatory AdvisorWe are seeking an experienced Senior Regulatory Advisor to join our expert team at AJ FOX COMPLIANCE in London.This is an exciting opportunity for professionals with a strong background in regulatory compliance, AML and financial crime risk management.We're looking for someone with at least three years of experience in financial...

  • Compliance Expert

    2 months ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    About the RoleSovos Compliance is seeking a highly skilled Regulatory Liaison Counsel to join our team. As a key member of our Regulatory Analysis and Design Department, you will play a critical role in bridging the gap between our regulatory expertise and our strategic ISV partners.Key ResponsibilitiesPartner closely with Sovos functions managing the...

  • Compliance Expert

    2 months ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    About the RoleSovos Compliance is seeking a highly skilled Regulatory Liaison Counsel to join our team. As a key member of our Regulatory Analysis and Design Department, you will play a critical role in bridging the gap between our regulatory expertise and our strategic ISV partners.Key ResponsibilitiesPartner closely with Sovos functions managing the...

  • Senior AML Compliance Expert

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Senior AML AdvisorWe are seeking an experienced Senior AML Advisor to join our expert team at AJ FOX COMPLIANCE in London. This is an exciting opportunity for professionals with a strong background in regulatory compliance, AML, and financial crime risk management.Key Responsibilities:AML/CTF Compliance Guidance: Provide expert guidance and insight on...

  • Senior AML Compliance Expert

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Senior AML AdvisorWe are seeking an experienced Senior AML Advisor to join our expert team at AJ FOX COMPLIANCE in London. This is an exciting opportunity for professionals with a strong background in regulatory compliance, AML, and financial crime risk management.Key Responsibilities:AML/CTF Compliance Guidance: Provide expert guidance and insight on...

  • Senior AML Compliance Expert

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Senior AML Advisor Job DescriptionAJ FOX COMPLIANCE is seeking an experienced Senior AML Advisor to join their expert team in London. This is an exciting opportunity for professionals with a strong background in regulatory compliance, AML, and financial crime risk management.Key Responsibilities:AML/CTF and Sanctions Compliance: Provide expert guidance and...

  • Senior AML Compliance Expert

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Senior AML Advisor Job DescriptionAJ FOX COMPLIANCE is seeking an experienced Senior AML Advisor to join their expert team in London. This is an exciting opportunity for professionals with a strong background in regulatory compliance, AML, and financial crime risk management.Key Responsibilities:AML/CTF and Sanctions Compliance: Provide expert guidance and...

  • Compliance Expert

    1 month ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Consultant RoleWe are seeking an experienced Compliance Consultant to join our team at Compliance Recruitment Solutions. As a Compliance Consultant, you will be responsible for providing strategic compliance advice to our clients, including Asset Managers, Private Wealth Managers & Private Equity Boutiques.Key Responsibilities:Act as the primary...

  • Compliance Expert

    1 month ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Consultant RoleWe are seeking an experienced Compliance Consultant to join our team at Compliance Recruitment Solutions. As a Compliance Consultant, you will be responsible for providing strategic compliance advice to our clients, including Asset Managers, Private Wealth Managers & Private Equity Boutiques.Key Responsibilities:Act as the primary...

  • Senior Compliance Expert

    2 months ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job Summary:We are seeking an experienced Compliance Professional to join our team at Compliance Recruitment Solutions. As a Senior Compliance Expert, you will be responsible for providing strategic compliance advice to our clients in the asset management industry.Key Responsibilities:Act as the primary compliance resource for a portfolio of clients,...

  • Senior Compliance Expert

    2 months ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job Summary:We are seeking an experienced Compliance Professional to join our team at Compliance Recruitment Solutions. As a Senior Compliance Expert, you will be responsible for providing strategic compliance advice to our clients in the asset management industry.Key Responsibilities:Act as the primary compliance resource for a portfolio of clients,...

  • Senior AML Compliance Expert

    1 month ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job OpportunityWe are seeking a highly experienced Senior AML Advisor to join our team at AJ Fox Compliance in London. This role offers a unique opportunity for professionals with a strong background in regulatory compliance, AML, and financial crime risk management to contribute to the success of our organization.The ideal candidate will have at least three...

  • Senior AML Compliance Expert

    1 month ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job OpportunityWe are seeking a highly skilled Senior AML Advisor to join our team at AJ Fox Compliance in London. This role offers a unique opportunity for professionals with a strong background in regulatory compliance, AML, and financial crime risk management to contribute to the success of our organization.The ideal candidate will have at least three...

  • Senior AML Compliance Expert

    1 month ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job OpportunityWe are seeking a highly skilled Senior AML Advisor to join our team at AJ Fox Compliance in London. This role offers a unique opportunity for professionals with a strong background in regulatory compliance, AML, and financial crime risk management to contribute to the success of our organization.The ideal candidate will have at least three...

  • Senior AML Compliance Expert

    3 weeks ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job OpportunityWe are seeking a highly skilled Senior AML Advisor to join our team at AJ Fox Compliance in London. This role offers a unique opportunity for professionals with a strong background in regulatory compliance, AML, and financial crime risk management to contribute to the success of our organization.The ideal candidate will have at least three...

  • Senior AML Compliance Expert

    1 month ago

    London, Greater London, United Kingdom AJ Fox Compliance Full time

    Job OpportunityWe are seeking a highly experienced Senior AML Advisor to join our team at AJ Fox Compliance in London. This role offers a unique opportunity for professionals with a strong background in regulatory compliance, AML, and financial crime risk management to contribute to the success of our organization.The ideal candidate will have at least three...