Compliance Expert for Equities Derivatives

1 month ago

London, Greater London, United Kingdom Goldman Sachs Full time

OUR IMPACT

At Goldman Sachs, we manage our compliance, regulatory, and reputational risks by ensuring adherence to laws, rules, and regulations. Our division monitors trends and changes in regulations in all jurisdictions where we operate and develops and implements firmwide and divisional policies and procedures. We advise our businesses and manage audits and inquiries, compliance learning, surveillance, and testing our risk management infrastructure.

Our Commitment to Diversity & Inclusion

We believe our people are our greatest asset. It is only with their determination and dedication that we can serve our clients, generate long-term value for our shareholders, and contribute to the broader public. At the crux of our efforts is a focus on cultivating and sustaining a diverse work environment and workforce, which is critical to meeting the unique needs of our diverse client base and the communities we serve.

Job Summary & Responsibilities

YOUR IMPACT

We are recruiting for an Executive Director position to join the Derivatives and Structured Products team within Equities Compliance, providing first-line compliance support and advice to Sales, Trading, Structuring, and Strats within the Equity Derivatives, Systematic Trading Strategies, and Structured Products businesses. The candidate should be able to work in a multi-dimensional business environment that is heavily client-focused and organize their time to deal with real-time issues as well as delivering on a diverse project workload.

Responsibilities
  • Provide real-time compliance advice to business personnel of all levels, with regards to the rules, regulations, and internal policies that govern their businesses.
  • Compliance representative for business-led projects/initiatives.
  • Developing and updating policies & procedures to applicable businesses.
  • Develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required.
  • Partner with Federation Compliance and other support functions in resolving queries.
  • Co-ordinate 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.
  • Assessing the impact of new financial regulations, setting internal Compliance policies, and providing appropriate guidance.
  • 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.
Other Requirements
  • Degree level or equivalent (not essential if relevant working experience).
  • 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, but not required.

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