Compliance Officer

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 plays a critical role in strengthening the firm's culture of compliance by assessing 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.

Your Impact

As a Global Banking & Markets - Public Compliance officer, you will assist the firm in preventing, detecting, and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets - Public division. You will articulate and maintain the standards of conduct required of the firm's businesses as well as the laws, regulations, and policies governing those businesses. Divisional Compliance provides coverage support to the Division's functional areas, including sales and trading, and product areas, such as equities, options, and fixed income, while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.

Responsibilities

Provide day-to-day line Compliance coverage for Global Banking & Markets – Public's Electronic Trading Compliance team
Review, assess, and mitigate all forms of Compliance risk associated with electronic trading across all Global Banking & Markets - Public asset classes, including equities and FICC
Advise on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations, and regulatory expectations
Assess new business initiatives and coordinate with interested stakeholders to support the firm's overall governance framework
Represent Compliance in broad-based cross-divisional projects supporting regulatory requirements
Develop, draft, and maintain Compliance policies and procedures outlining firm requirements, regulations, and best practices related to electronic trading
Support the Compliance training programs related to electronic trading
Assist with regulatory examinations, audits, and inquiries
Perform look-backs, oversight, and surveillances to assess compliance risks and breaches
Analyze new or amended laws, rules, and regulations in order to formulate practical solutions to industry-wide issues

Requirements

Ideally, candidates will hold a Bachelor's Degree or equivalent experience
Candidates should have three years of relevant experience within Compliance, Legal, Regulatory, or Financial Services
Particular FICC or Equities Compliance or Electronic Trading Compliance expertise is preferred, but not required
Experience or familiarity working with electronic trading components or systems, such as trading algorithms/models, is preferred, but not required
Knowledge of trading rules and regulations, such as MIFID II, MAR, Benchmarks, Dodd Frank, REMIT, FX Global Code, LBMA Precious Metals Code, FMSB Standards, EMIR, CFTC, SEC, with a particular focus on electronic trading rules, such as RTS 6, is preferred, but not required
Ability to work well in a team-oriented environment
Excellent communications skills (oral and written)
Ability to handle multiple tasks simultaneously and work under pressure

  • Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer RoleWe are seeking a Compliance Officer to support our boutique wholesale bank in ensuring compliance with regulatory requirements and internal policies.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist with the development and implementation of compliance policies and...

  • Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    We are seeking a Junior Compliance Officer to support our boutique wholesale bank in ensuring compliance with regulatory requirements and internal policies.The ideal candidate will have 1-2 years of experience in a regulatory compliance role within the banking space, knowledge of FCA & PRA regulations, and a degree or MBA in Compliance.Key responsibilities...

  • Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance OfficerWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. As a Compliance Officer, you will be responsible for ensuring our company's compliance with regulatory requirements and industry standards.Key Responsibilities:Own, maintain, develop and review compliance policies, advising management on...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Compliance ManagerJob Summary:We are seeking a highly skilled Compliance Manager to join our team at Compliance Professionals. The successful candidate will be responsible for managing a small team and will be required to work 4 days in the office.Key Responsibilities:Consideration of all relevant statutory and regulatory provisions, particularly...

  • Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring adherence to regulatory requirements and internal policies, monitoring and assessing the effectiveness of compliance controls and procedures, and identifying and reporting compliance risks and...

  • Compliance Officer

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job SummaryWe are seeking a highly skilled and experienced Compliance Officer to join our team at Compliance Professionals in London. The successful candidate will be responsible for ensuring that all regulatory requirements are met and maintained, while also providing administrative support to the legal department.Key Responsibilities:Writing minutes and...

  • Chief Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Chief Compliance OfficerOur client, a leading international banking organization, is seeking a highly skilled Chief Compliance Officer to join their team on a permanent basis.Key Responsibilities:Ensure all managers fulfill their responsibilities and oversee the implementation of compliance policies and procedures.Develop and maintain policies and...

  • Chief Compliance Officer

    1 month ago

    London, Greater London, United Kingdom Compliance Wise Full time

    Job Title: Chief Compliance OfficerCompliance Wise is seeking a highly experienced Chief Compliance Officer to lead our global Compliance function. As a key member of our senior leadership team, you will be responsible for ensuring that our firm meets and maintains the highest standards in professional conduct and quality, adhering to our legal and...

  • Risk and Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Risk and Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring the bank's compliance with regulatory requirements and identifying potential risks.Key Responsibilities:Monitor and report on compliance with regulatory requirements and bank...

  • Regulatory Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is seeking a highly skilled Regulatory Compliance Officer to join our team. As a key member of our compliance team, you will be responsible for ensuring that our firm remains in compliance with all relevant regulatory requirements.Key Responsibilities:Develop and implement effective compliance monitoring and surveillance programs to...

  • Compliance Officer

    3 weeks 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...

  • Compliance Officer

    3 weeks ago

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

    Compliance Analyst RoleAJ FOX COMPLIANCE is seeking a skilled Compliance Analyst to join their London office. This role will support the Compliance team in all their legal and regulatory duties.Key Responsibilities:Conduct customer due diligence (CDD) for a wide range of clients, reviewing CDD materials and advising on any additional information...

  • Compliance Officer

    4 weeks ago

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

    Job Title: Compliance Officer - Risk and Compliance SpecialistWe are seeking a highly skilled and dedicated Compliance Officer to join our team at AJ FOX COMPLIANCE. As a Compliance Officer, you will be responsible for handling a broad range of compliance, conflicts, and AML issues.Key Responsibilities:Advise secretaries, fee earners, and partners on best...

  • Compliance Officer

    4 weeks ago

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

    At AJ FOX COMPLIANCE, we are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for handling a broad range of compliance, conflicts, and AML issues. You will have the opportunity to handle escalations from officers and work closely with secretaries, fee earners, and partners to advise on best...

  • Compliance Officer

    4 weeks ago

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

    Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team at AJ FOX COMPLIANCE. As a Compliance Officer, you will be responsible for handling a broad range of compliance, conflicts, and AML issues.Your key responsibilities will include:Advising secretaries, fee earners, and partners on best practices in relation to client matters...

  • Compliance Officer

    3 weeks 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

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:Compliance Professionals seeks a skilled Compliance Officer - Financial Markets to join our team. The ideal candidate will have experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling or banking environment.Key Responsibilities:Develop and implement daily alert review and escalation processes for MAR...

  • Compliance Officer

    18 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is looking for a highly motivated Market Surveillance Officer to assist us in maintaining a fair and transparent financial market.Job Description:Assisting with the annual market abuse risk assessment.Reviewing and reporting on market surveillance alerts and electronic communications to identify suspicious behaviour.You will work...

  • Compliance Officer

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionA career opportunity has arisen for an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in financial services, preferably in investment and life protection.About the RoleWe are seeking a highly motivated individual to oversee the compliance function within our...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer RoleWe are seeking a seasoned Compliance Officer to join our team at Compliance Professionals. As a specialist mortgage lending company, we require a professional with a strong background in compliance and financial crimes to ensure our operations meet the highest regulatory standards.Key ResponsibilitiesMaintain and develop compliance...