Compliance Officer

4 weeks ago

London, Greater London, United Kingdom Goldman Sachs Full time
Job Title: Compliance Officer - Corporate Treasury

We are seeking a highly skilled Compliance Officer to join our Corporate Treasury team in London. As a Compliance Officer, you will be responsible for providing proactive risk mitigation instructions on regulatory and policy matters, advising and challenging CF&O divisions about regulations, policies, and reputational risk, and identifying, investigating, and managing compliance issues involving CF&O divisions.

Key Responsibilities:
  • Provide real-time compliance guidance to the Corporate Treasury Department and trading group.
  • Advise on relevant rules, regulations, and internal policies that govern the Corporate Treasury business.
  • Identify, investigate, and manage compliance issues involving CF&O divisions.
  • Execute Compliance Risk Assessment and other core compliance deliverables.
  • Develop and deploy second-line controls and assist the first line with the development of their controls.
  • Review new algorithms and other electronic-related business initiatives.
  • Conduct forensic reviews to monitor CF&O divisions' compliance with regulations and firm policies.
  • Recommend compliance testing work to be performed for CF&O divisions.
  • Draft and assist in the implementation of policies and procedures.
  • Develop and deliver communication and training to the CF&O divisions.
  • Investigate and liaise with internal stakeholders in relation to conduct issues.
Requirements:
  • 5+ years Compliance/Legal/Regulatory background covering Corporate Treasury/Treasury trading functions.
  • Bachelor's degree required; advanced degree in a relevant field is a plus.
  • Clear, concise written and verbal communications skills; able to communicate with impact at senior levels.
  • Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager.
  • Sound judgment, ethics, and integrity.
  • Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions.
  • Ability to process large amounts of information on novel topics and identify salient points, and succinctly present them to a senior audience.
  • Ability to build relationships with stakeholders of various seniority and across different roles.
  • Proactive, self-motivated, assertive, and well-organized.
  • Takes ownership of tasks, progresses them independently, and escalates to senior stakeholders when required.
  • Strong analytical, technical, and problem-solving skills, with the ability to exercise sound and balanced judgment.
  • Ability to learn and navigate technical firm systems used for forensic reviews.
  • Forward-looking, focused on improving and streamlining controls and processes.
  • Ability to work independently and yet remain a strong team player.
  • Ability to handle multiple tasks simultaneously and work to tight deadlines, balancing short-term and long-term projects.
  • A strong understanding of EU and US regulation (MIFID II, MAR, Dodd Frank, CFTC, SEC).
About Goldman Sachs:

At Goldman Sachs, we commit our people, capital, and ideas to help our clients, shareholders, and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities, and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness, and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at /careers. We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

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