Compliance Risk Specialist, Private Wealth Management

3 weeks ago

London, Greater London, United Kingdom Goldman Sachs Full time
Job Summary

We are seeking a Compliance Risk Specialist to join our Private Wealth Management team in London. This role will focus on preventing, detecting and mitigating compliance, regulatory and reputational risk across the firm.

About the Role

In this role, you will be part of a team that 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.

Key Responsibilities
  • Provide advice on how to conduct the firm's business in a manner that complies with applicable rules, regulations and policies.
  • Identify Compliance risk associated with business processes and practices, including review and potential enhancements of existing controls.
  • Review and approval of marketing materials prepared for distribution to clients.
  • Perform thematic forensic reviews.
  • Review of errors and customer complaints.
  • Support internal and external audit preparation work.
  • Provide training on applicable compliance requirements.
  • Identify, review and implementation of new regulations by partnering with Legal, Business Personnel, Compliance Officers and other stakeholders.
  • Participation in various global and region specific strategic projects to provide comprehensive Compliance inputs and drive Compliance owned deliverables.
Requirements
  • A minimum of 6 years of experience as a compliance officer, in a risk management role, ideally with a nexus to Private Wealth.
  • A Bachelor's degree or higher in Law, Economics, Finance or Master's degree or MBA a plus, but not required.
  • Detailed Knowledge of UK regulatory environment and FCA rules.
  • Any knowledge of other European or international regulatory regimes an advantage.
  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Entrepreneurial inclination - ability to work alone 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.
Benefits

At Goldman Sachs, we offer a competitive salary and benefits package, including:

  • A base salary range of £120,000 - £180,000 per annum.
  • A bonus scheme based on individual and firm performance.
  • A comprehensive health insurance package.
  • A generous pension scheme.
  • A range of flexible working options.

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