Global Banking and Markets (Public) FICC Compliance, Vice President, London

Goldman Sachs – FICC Compliance Team, London

Role Overview

Vice President level role based on the trading floor providing real‑time compliance advice for the Global Currencies and Emerging Markets (GCEM) business.

Responsibilities

• Designs and implements controls, policies, procedures and training.
• Conducts independent testing and investigations, surveils and monitors for compliance risks and breaches.
• Leads the firm’s responses to regulatory examinations, audits and inquiries.
• Provides real‑time compliance advice regarding relevant rules, regulations and internal policies that govern the business.
• Provides proactive risk‑mitigation instructions on regulatory and policy matters, including individual transactions, new products and business initiatives.
• Assists with the interpretation and implementation of new rules and regulations.
• Develops and delivers both ad‑hoc and annual face‑to‑face training.
• Develops and deploys second‑line controls and assists the first line with control development.
• Reviews new algorithms and other electronic‑related business initiatives.
• Reviews complex and strategic marketing materials and committee memos.
• Co‑ordinates with the broader Compliance teams, Financial Crime Compliance, and other firm departments such as Controllers, Operations, Internal Audit and Legal on initiatives and projects.
• Participates in compliance, regulatory and internal investigations and audits, including utilising firm systems to conduct forensic reviews.
• Liaises with local regulators, exchanges and venue operators and coordinates responses to ad‑hoc exchange and regulatory enquiries.
• Contributes to the Global Compliance programme of work, including assisting on exercises such as the Compliance Risk Assessment.

Qualifications and Skills

• Vice President level experience with a minimum of 5 years in Markets Compliance, ideally on a trading floor of a Tier 1 house or firm with sophisticated market‑making or hedging business units and/or complex financing capabilities.
• Degree level or equivalent education; professional qualifications such as CISI Diploma, CFA, Solicitor or Bar exams are an advantage.
• Excellent practical understanding of FICC asset classes (cash and derivatives), ideally including FX, rates, credit and emerging markets.
• Deep knowledge of UK, EU and US regulations (MIFID II, MAR, Benchmark Regulation, EMIR, CSDR, CFTC, SEC).
• Pro‑active, self‑motivated, assertive and well‑organised with the ability to work independently while remaining a strong team player.
• Ability to handle multiple tasks simultaneously and meet tight deadlines.
• Excellent written and oral communication skills; languages an advantage (particularly French and/or German).
• Proactive approach to problem‑solving, a passion for compliance and financial markets, and a willingness to continually learn.
• Capacity to thrive in an international, diverse and inclusive environment.

Goldman Sachs is committed to fostering and advancing diversity and inclusion in the workplace.

#J-18808-Ljbffr…