Compliance, Equities Derivatives Compliance, Executive Director, London

4 weeks ago

London, United Kingdom Goldman Sachs Full time

OUR IMPACT

Global Compliance manages the firm’s compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. The division monitors trends and changes in regulations in all jurisdictions in which the firm does business and develops and implements firmwide and divisional policies and procedures. In addition to advising the firm’s businesses, Global Compliance is responsible for managing audits and inquiries, Compliance learning, surveillance and testing the firm’s risk management infrastructure. 

Our commitment to Diversity & Inclusion

Our people are our greatest asset – we say it often and with good reason. It is only with the determination and dedication of our people that we can serve our clients, generate long-term value for our shareholders and contribute to the broader public. At the crux of our efforts is a focus on cultivating and sustaining a diverse work environment and workforce, which is critical to meeting the unique needs of our diverse client base and the communities in which we operate. We are committed to making progress toward racial equity, advancing gender equality, and increasing representation at every level of our firm.

Job Summary & Responsibilities

YOUR IMPACT

We are recruiting for an Executive Director position to join the Derivatives and Structured Products team within Equities Compliance, providing first line compliance support and advice to Sales, Trading, Structuring and Strats within the Equity Derivatives, Systematic Trading Strategies and Structured Products businesses. The candidate should be able to work in a multi-dimensional business environment that is heavily client focused and organise their time to deal with real-time issues as well as delivering on a diverse project workload.

Responsibilities 

Provide real-time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses  Compliance representative for business-led projects/initiatives  Developing and updating policies & procedures to applicable businesses  Develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required  Partner with Federation Compliance and other support functions in resolving queries Co-ordinate with the broader Global Compliance Team on EMEA initiatives and projects as a representative for Equities Compliance  Assist with the annual Compliance Risk Assessment  Partner with Surveillance and Financial Crime Compliance in resolving surveillance alerts identified systematically or via desk escalation Assessing the impact of new financial regulations, setting internal Compliance policies and providing appropriate guidance  Coordinate and review responses to exchanges/regulators Review and provide Compliance sign off for electronic trading activities relating to our various businesses Review and provide Compliance sign-off for new index approval requests, systematic trading strategies and their associated marketing materials 

Other Requirements 

Degree level or equivalent (not essential if relevant working experience)  At least 5 yrs relevant experience  Good understanding of capital markets, with benchmarks / derivatives / structured products knowledge an advantage, but not required Experience of performing a Compliance advisory role in a global investment bank and understanding of applicable regulations and rules (MiFID, MAR/MAD, COBS, exchange rules) an advantage, but not required Understanding of FCA Consumer Duty an advantage, but not required Pro-active, self-motivated, enthusiastic, well organised and keen to learn  Ability to work independently, be a strong team player and manage relationships/stakeholders at all levels Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure

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. 

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