Compliance Executive Director

2 weeks ago

London, Greater London, United Kingdom Goldman Sachs Full time

Our Impact
At Goldman Sachs, we strive to prevent, detect, and mitigate compliance, regulatory, and reputational risk across the firm. Our Compliance division assesses the firm's compliance, regulatory, and reputational risk; monitors for compliance with new or amended laws, rules, and regulations; designs and implements controls, policies, procedures, and training; conducts independent testing; investigates, surveils, and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits, and inquiries.

Your Impact
We are seeking a Vice President level Compliance Executive Director to join our London FICC Compliance Team. The successful candidate will provide compliance coverage for our market-leading Rates business, heading our Compliance coverage for the EMEA Rates business. This role will report into the EMEA Head of Rates and Currencies Compliance, part of the FICC Compliance team within the EMEA Global Banking & Markets - Public Compliance Team.

Key Responsibilities
The Compliance Executive Director will be responsible for:

  1. Providing real-time compliance counsel to the Rates business units, regarding relevant rules, regulations, and internal policies.
  2. Issuing proactive risk mitigation instructions on regulatory and policy matters, including individual transactions, new products, and business initiatives.
  3. Assisting with the interpretation and implementation of new rules and regulations.
  4. Developing and delivering both ad-hoc and annual face-to-face training.
  5. Developing and deploying second-line controls and assisting the first line with the development of their controls.
  6. Reviewing new algorithms and other electronic-related business initiatives.
  7. Coordinating with the broader FICC & Equities Compliance Team, as well as Federation and Financial Crime Compliance, on initiatives and projects.
  8. Participating in compliance regulatory and internal investigations and audits.
  9. Liaising with local regulators and Exchange/MTF operators and coordinating responses to ad-hoc regulatory enquiries.
  10. Leading and/or executing the Compliance Risk Assessment for the Rates businesses.

Requirements
We are looking for a candidate with:

  1. Vice President level experience.
  2. Minimum 5 years Markets Compliance experience gained by working on a trading floor for a Tier 1 house or others with sophisticated algorithmic/electronic business units and/or complex financing capabilities.
  3. Degree level or equivalent (not essential if has relevant working experience).
  4. Professional qualifications such as CA, CFA, Solicitor, or Bar exams an advantage.
  5. Excellent practical understanding of FICC asset classes (both Cash and Derivatives), and Rates in particular.
  6. Pro-active, self-motivated, assertive, and well-organized.
  7. Ability to work independently and yet remain a strong team player.
  8. Forward-looking, focused on improving and streamlining controls and processes.
  9. Ability to handle multiple tasks simultaneously and work to tight deadlines.
  10. Excellent communication skills, both written and oral.
  11. Languages an advantage (particularly French and/or German).
  12. Ability to code or understand code would be an advantage.
  13. Previous experience of trading FICC products would be an advantage.
  14. Proactive approach to problem-solving.
  15. Deep interest in the financial markets and a willingness to continually learn.
  16. Excellent understanding of EU and US regulations (MIFID II, MAR, Benchmarks, REMIT, FX Global Code, LBMA Precious Metals Code, EMIR, CFTC, SEC...).
  17. Ability to enrich and thrive in an international and diverse, inclusive environment.

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