Regulatory Compliance Specialist

3 weeks ago

London, Greater London, United Kingdom Goldman Sachs Full time

OUR IMPACT


We contribute to the prevention, detection and mitigation of compliance, regulatory and reputational risk across the firm. This enables us to strengthen the firm's culture of compliance by implementing an enterprise-wide compliance risk management program.


The role involves 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.


You will be part of a diverse team comprising members from various academic and professional backgrounds. We look for individuals who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.


YOUR ROLE


This is a position within the EMEA Global Markets Compliance Team covering equities electronic and voice trading across developed and emerging markets. The candidate will work closely with a team of seven London-based and one EU-based employees to provide first-line compliance support to teams within the business areas mentioned above.


The successful candidate will ensure compliance with internal policies and procedures as well as external regulatory requirements. Key responsibilities include:



  • Providing real-time compliance advice to business personnel regarding rules, regulations and internal policies that govern their businesses
  • Assisting in the interpretation and implementation of new rules/regulations/guidance/policy
  • Preventing, detecting and mitigating compliance, regulatory and reputational risk and contributing to the strengthening of the firm's culture of compliance
  • Representing Compliance in business lead projects/initiatives
  • Developing and updating policies and procedures when applicable
  • Helping to develop and deliver training as part of ongoing Compliance training programs tailored to suit the requirements of our various businesses
  • Coordinating with the broader Global Markets Compliance Team on EMEA initiatives and projects
  • Investigating and coordinating responses to ad-hoc regulatory or internal enquiries

SALARY


The estimated annual salary for this position is approximately £60,000 to £80,000, depending on experience and qualifications.


REQUIREMENTS


To succeed in this role, you should have:



  • A degree-level qualification or equivalent (not essential if relevant working experience is held)
  • Experience in electronic trading (support or otherwise)
  • Proactive, self-motivated, assertive and well-organized traits
  • Able to work independently while remaining a strong team player
  • Forward-looking, focused on streamlining processes and increasing efficiency
  • Adaptable with the ability to multitask
  • Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
  • An effective communicator with the ability to build strong relationships with others
  • Analytical, inquisitive and detail-oriented
  • A keen interest in financial markets, products and securities regulations, with a willingness to learn

COMPANY OVERVIEW


Goldman Sachs is a leading global investment banking, securities and investment management firm founded in 1869. We commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.


BENEFITS


We offer competitive salaries, benefits packages and opportunities for career growth and development.

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