Compliance, Equities Derivatives Compliance, Associate, London

Job Description

OUR IMPACT

Global Compliance manages the firm’s compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. We monitor trends and changes in regulations in all jurisdictions in which the firm does business, and we develop and implement firmwide policies and procedures. In addition to advising the firm’s businesses, Global Compliance is responsible for managing audits and inquiries, educating our people on our policies and procedures, surveillance and testing the firm’s risk management infrastructure.

DIVERSITY & INCLUSION

Our people are our greatest asset. We believe that a major strength and principal reason for our success is the quality, dedication, determination and collaboration of our people, which enables us to serve our clients, generate long‑term value for our shareholders and contribute to the broader community.

JOB SUMMARY & RESPONSIBILITIES

YOUR IMPACT

We are recruiting for an (up to) Associate position to join the Derivatives team within Equities Compliance, providing first‑line compliance support and advice to Sales, Trading, Structuring and Strats within the Equity Derivatives businesses, which include Flow and Strategic Equity Derivatives, Structured Products and Systematic Trading Strategies. 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

• Assist in the provision of 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 or support 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 other central Compliance teams and other support functions in resolving queries
• Co‑ordinate with the broader Global Compliance Team on EMEA and Global 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 assist with Compliance sign off for electronic trading activities relating to our various businesses
• Review and assist with providing 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)
• Experience within Compliance, including Equities or Equities Derivatives Compliance an advantage
• Good understanding of capital markets, with benchmarks / derivatives / structured products / retail distribution 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 GS.com/careers.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

LOCATIONS

• London, Greater London, England, United Kingdom

HEALTHCARE & MEDICAL SERVICES

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.

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

FINANCIAL WELLNESS & RETIREMENT

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

HEALTH

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state‑of‑the‑art on‑site health centers in certain offices.

FITNESS

To encourage employees to live a healthy and active lifestyle, some of our offices feature on‑site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre‑approved amount).

CHILD CARE

We offer on‑site child care centers that provide full‑time and emergency back‑up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

BENEFITS AT GOLDMAN SACHS

Read more about the full suite of class‑leading benefits our firm has to offer.

Learn More

#J-18808-Ljbffr