Market Abuse Risk Assessment Associate/Vice President, London

4 weeks ago

London, Greater London, United Kingdom Goldman Sachs Full time
OUR IMPACT

At Goldman Sachs, we are committed to preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm. Our division, led by the Global Market Surveillance Compliance team, plays a critical role in strengthening the firm's culture of compliance. We accomplish this through our enterprise-wide compliance risk management program, which includes assessing the firm's compliance, regulatory, and reputational risk; monitoring for compliance with new or amended laws, rules, and regulations; designing and implementing controls, policies, procedures, and training; conducting independent testing; investigating, surveilling, and monitoring for compliance risks and breaches; and leading the firm's responses to regulatory examinations, audits, and inquiries.

The Global Market Surveillance Compliance team provides compliance coverage and support to the Equities and FICC Sales and Trading businesses. Our primary function is to manage compliance and regulatory risk through the development and oversight of market abuse surveillance controls. We help identify and prioritize the compliance and regulatory risks as they apply to market abuse regulation, across the Global Banking & Markets businesses, and work to develop and/or enhance appropriate detective control measures to mitigate such risks.

As a Market Abuse Risk Assessment Associate/Vice President, you will be part of a team with members from a wide range of academic and professional backgrounds. We look for individuals who possess sound judgment, curiosity, and the ability to adapt to a changing regulatory landscape. Your responsibilities will include leading regional coordination of the Market Abuse Risk Assessment (MARA), working closely with various internal teams to ensure relevant risk factors are continuously updated and monitored in the MARA. You will also help prioritize areas where there is a need to improve a control rating, perform an analysis of the risk, and propose logic/detection criteria that is reasonably designed to detect it.

KEY RESPONSIBILITIES

  • Lead regional coordination of the Market Abuse Risk Assessment (MARA) including working closely with various internal teams to ensure relevant risk factors are continuously updated and monitored in the MARA.
  • Help to prioritize areas where there is a need to improve a control rating.
  • Work with other stakeholders to define new/improved scenarios and/or efficiency opportunities to further enhance automated surveillance coverage as appropriate.
  • Be familiar with business flows across Equities and FICC and challenge existing assumptions relating to risks and controls as appropriate.
  • Strive to create a consistent approach across businesses, products, and regions as appropriate.

PROGRAMME MANAGEMENT

  • Identify areas of focus relating to the governance arrangements across all facets of the trade surveillance programme.
  • Work with surveillance reviewers to tease out areas of potential enhancement of coverage and/or efficiency.
  • Monitor trends/metrics in relation to alert volumes/quality and identify their corresponding drivers.
  • Assist with regulatory examinations/inspections.
  • Participate in periodic risk assessments and control design/performance rating exercises.
  • Escalation of issues that may be potential control failings.

MANAGEMENT INFORMATION/REPORTING

  • Develop and/or enhance systematic processes for escalating issues.
  • Provide input to key metrics/indicators that provide insights and/or measure the effectiveness of the surveillance program.
  • Assist with periodic management reporting, including at board level.

REQUIREMENTS

  • Experience in a previous role in Compliance, Surveillance, Internal Audit, or other control function. A sales/trading and/or regulatory background would be highly regarded.
  • Strong analytical skills. Experience working with Tableau, Alteryx, or Python for data analysis and/or automation would be highly regarded.
  • Working knowledge of securities markets, businesses, products. Knowledge for FICC products/markets highly regarded.
  • Working knowledge of securities and exchange rules and regulations, in particular UK/EU MAR.
  • Knowledge of the nuances between different market abuse behaviours and the effective and surveillance development.
  • Knowledge of sales and trading system functionality/workflow would be considered favourably.
  • Familiarity with conducting risk assessments, preferably in the context of market abuse.
  • Curious, inquisitive, and proactive in identifying potential non-compliance, risks, and/or proposing solutions.
  • Exemplary interpersonal skills and an ability to communicate succinctly and with impact.
  • Ability to work with a variety of stakeholders at all levels.
  • Team orientated and one who can prioritize in a fast-moving, high-pressure, constantly changing environment.
  • Entrepreneurial inclination - ability to work alone where needed and act as project manager.
  • Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
  • Ability to handle multiple tasks simultaneously and work under tight deadlines with pro-active communication.

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