Regulatory Compliance Expert

2 weeks ago

London, Greater London, United Kingdom WeAreTechWomen Full time

About Us



At Goldman Sachs, we are committed to innovation and excellence in our operations. We believe in creating a work environment that fosters collaboration, growth, and continuous learning.



Your Impact



We are seeking a highly skilled Regulatory Compliance Expert to join our team. As a key member of our Operations division, you will play a critical role in ensuring the firm's compliance with regulatory requirements across various obligations.



About the Role



As a Regulatory Compliance Expert, you will be responsible for:




  • Contributing to the execution of non-financial regulatory reporting obligations (e.g., MIFID, EMIR, and SFTR)
  • Performing analysis on reporting anomalies, remediation, and corrective actions in close collaboration with respective Production, Remediation, and Engineering teams
  • Advising on regulatory risk and requirements to facilitate commercial activity
  • Analyzing internal client and external regulatory inquiries related to trade, transaction, position, and client assets data
  • Enhancing the reporting process by documenting requirements to address regulatory reports for remediation and production discrepancies
  • Verifying, validating, and testing data provided by Engineering prior to submission
  • Actively participating in the development of the strategic control framework for Regulatory Operations
  • Collaborating across multiple business lines and stakeholder groups in strategic initiatives across the global Regulatory Operations department
  • Developing strong working relationships both internally (including the Front Office and Middle Office Technology, Legal, and Compliance) and externally to support various reporting functions


Requirements



To succeed in this role, you will need:




  • A Bachelor's degree with at least 1 year of experience in a global firm with Financial/Tech/Legal/Project Management background
  • Strong analytical skills with an ability to understand complex workflows paired with meticulous attention to detail
  • Excellent communication skills to clearly articulate issues and ideas, provide timely escalation
  • Good interpersonal skills to build strong relationships with key stakeholders within and outside of Operations
  • Self-motivation and proactivity as a team player who takes ownership and accountability of projects, has strong organizational skills, and effectively manages competing priorities within deadlines
  • Flexibility and ability to work well under pressure in a team environment


Preferred Qualifications



We welcome candidates with:




  • Basic understanding of financial markets regulatory landscape
  • Knowledge about financial markets and associated processes
  • Working knowledge of financial products, e.g., equities, fixed income, OTC derivatives
  • Knowledge about project management and business analysis
  • Show interest in data analysis, process automation, and BI tools


Compensation



The estimated salary for this position is between $100,000 and $150,000 per annum, depending on location and experience.

  • Regulatory Compliance Expert

    3 weeks ago

    London, Greater London, United Kingdom Vixio Regulatory Intelligence Full time

    Role OverviewVixio Regulatory Intelligence is seeking a highly skilled Regulatory Compliance Expert to lead the development of a premium technical compliance solution.The ideal candidate will have experience in compliance roles at regulated gambling operators or technology providers and possess strong communication skills.

  • Regulatory Compliance Expert

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job SummaryWe are seeking an experienced Regulatory Compliance Expert to join our team at Compliance Professionals. This role will involve ensuring adherence to statutory and regulatory provisions, monitoring regulatory developments, and maintaining the Compliance Monitoring Programme.Key ResponsibilitiesEnsure compliance with FCA, LME, LME Clear, NFA, and...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Regulatory ComplianceWe are seeking an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in regulatory compliance and experience in managing a small team.Key Responsibilities:Monitor and review all relevant statutory and regulatory provisions, including...

  • Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Role:Compliance Professionals is seeking a highly skilled Compliance Officer to join our team. As a key member of our compliance department, you will be responsible for assisting with the management of our compliance monitoring program and ensuring adherence to all applicable regulatory obligations.Responsibilities:Consideration of all...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance ManagerThe Compliance Professionals are seeking a highly skilled Regulatory Compliance Specialist to join their London-based compliance team. This is a challenging and rewarding role that requires strong knowledge of regulatory requirements and compliance best practices.About the Role:This position plays a crucial role in ensuring adherence to...

  • Regulatory Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Regulatory Affairs Professionals Society Full time

    Job DescriptionAs a Regulatory Affairs Manager at Prinova Europe, you will oversee regulatory strategy for the organisation, providing leadership and guidance to the business on regulatory matters for food, feed and personal care activity in the UK and other markets where Prinova Europe and Prinova Solutions Europe operates.This role involves ensuring...

  • Compliance Risk Management Expert

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    We are seeking a seasoned Compliance Risk Management Expert to lead our global compliance efforts. Based in the City, our client is a world-leading specialist broker with a reputation for excellence.Job OverviewThe successful candidate will be responsible for managing global regulatory relationships, providing advisory coverage to all business desks...

  • Compliance Manager

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking a highly experienced Compliance Manager to join our team at Compliance Professionals.The successful candidate will have extensive experience of working in a financial services industry Compliance Department covering private banking/wealth management activities.Key responsibilities will include:Assisting with ensuring compliance...

  • Strategic Compliance Officer

    4 weeks ago

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

    Job OverviewAJ FOX COMPLIANCE, a leading International Law Firm, is seeking an experienced Strategic Compliance Officer to join their Risk and Compliance team.The role involves providing expert guidance on regulatory risk and compliance matters, including conflicts and anti-money laundering (AML), to support senior management in managing professional risks...

  • Regulatory Affairs Strategist

    2 weeks ago

    London, Greater London, United Kingdom VRS Regulatory Full time

    Role OverviewA challenging opportunity has arisen for a Regulatory Affairs Strategist to join VRS Regulatory's team. About the RoleWe are seeking an experienced Regulatory Affairs Strategist to develop and implement regulatory strategies for plant protection products in specific geographical territories. Develop and execute regulatory strategies for product...

  • Compliance Director

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job OverviewWe are seeking a seasoned Compliance Director to join our team at Compliance Professionals.The ideal candidate will have extensive experience in senior-level compliance roles within the derivatives brokerage industry.About the RoleThis is an exceptional opportunity to oversee a small team and play a pivotal role in developing our compliance...

  • Compliance Technical Expert

    2 weeks ago

    London, Greater London, United Kingdom Vixio Regulatory Intelligence Full time

    Job Title: Compliance Technical ExpertVixio Regulatory Intelligence is seeking a Compliance Technical Expert to oversee the development of a forthcoming Vixio technical compliance solution. As part of this expansion, the successful candidate will collaborate with internal and external stakeholders to design, develop, and launch a premium technical compliance...

  • Compliance and Regulatory Expert

    2 weeks ago

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

    Job Description:">AJ Fox Compliance is seeking a highly skilled AML Compliance Associate to join their legal team in London. As a key member of the Compliance team, you will be responsible for supporting the team in all their legal and regulatory duties.">Key Responsibilities:">">Perform risk assessments at client onboarding and during updates of CDD...

  • UK Regulatory Expert

    2 weeks ago

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

    Job Title: UK Regulatory ExpertSalary Range: £90,000 - £120,000 per annumJob Description:We have been retained by our client, a growing international payments business with an exciting vision, to find a Head of UK Compliance to help drive forward their expanding business.Key Responsibilities:Reviewing and analysing regulatory changes and new rules from the...

  • Compliance and Regulations Expert

    2 weeks ago

    London, Greater London, United Kingdom Regulatory Affairs Professionals Society Full time

    Key ResponsibilitiesDevelop and implement regulatory strategies for food and feed products to ensure compliance with UK, EU and international regulationsWork closely with product development teams to ensure that products meet all relevant regulatory requirementsMonitor changes in legislation and regulatory requirements and update compliance protocols...

  • Compliance Advisory Expert

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:Compliance Professionals seek a skilled Compliance Advisory Expert to join their team. The successful candidate will provide expert advice and guidance on financial crime matters, ensuring the company remains compliant with regulatory requirements. This is an excellent opportunity to work with a reputable company and advance your career in...

  • Regulatory Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionCompliance Professionals is seeking a highly skilled Regulatory Compliance Specialist to join our team.About the RoleThis exciting opportunity allows you to utilize your expertise in regulatory compliance to provide comprehensive advice on requirements and interpret complex regulatory changes. You will work closely with key stakeholders,...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking a skilled Regulatory Compliance Specialist to join our team at Compliance Professionals.Job SummaryThe ideal candidate will have at least 5 years' experience in Compliance or Operations within financial services, preferably fund management and/or discretionary management environment. Strong appreciation of Compliance and...

  • Compliance Regulatory Expert

    2 weeks ago

    London, Greater London, United Kingdom SGS Société Générale de Surveillance SA Full time

    Job DescriptionWe are seeking a highly skilled Compliance Regulatory Expert to join our team at SGS Société Générale de Surveillance SA.About the RoleThe Compliance Regulatory Expert will be responsible for providing expert advice on regulatory matters related to compliance risk management, financial regulations, and corporate governance. This role will...

  • Compliance Expert

    2 weeks ago

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

    We are seeking a Compliance Expert to support AJ FOX COMPLIANCE in ensuring the highest standards of regulatory compliance across our operations.The ideal candidate will have strong knowledge of CQS, Lexcel, and SRA Regulations, with proven experience in compliance within the legal sector.Provide guidance to clients on acquiring and maintaining Legal Aid...