• Compliance, Cash Equities Advisory, Associate, London

    Location(s) UK-London
    Job ID
    2019-55472
    Schedule Type
    Full Time
    Level
    Associate
    Function(s)
    Compliance
    Region
    EMEA
    Division
    Compliance
    Business Unit
    Securities Division Compliance
    Employment Type
    Employee
  • MORE ABOUT THIS JOB

    GLOBAL COMPLIANCE

     

    Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 

     

    At Goldman Sachs, our culture is one of teamwork, innovation and meritocracy. We often say our people are our greatest asset and we take pride in supporting each colleague both professionally and personally.  From collaborative work spaces and mindfulness classes to working from home and flexible work options, we offer our people the support they need to reach their goals in and outside the office.

    RESPONSIBILITIES AND QUALIFICATIONS

    YOUR IMPACT

     

    You will provide support to the various areas within the Cash Equity sphere which includes Sales and Sales Trading and Trading for the Pan European Shares, Program Trading, Direct Market Access and the Volatility Trading desks. 

    You will be able to work in a multi-dimensional business that is heavily client focused, and organize their time to deal with real-rime issues as well as delivering on a diverse project workload.    

     

    HOW YOU WILL FULFILL YOUR POTENTIAL

    • 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 lead projects/initiatives 
    • Developing and updating policies & procedures applicable to the Cash Equity businesses 
    • Help 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 
    • Co-ordinate with the broader Securities Division Compliance Team on EMEA initiatives and projects as a representative for Equities Compliance 
    • Assisting with the interpretation and implementation of new rules/regulation 
    • Coordinating responses to ad-hoc regulatory enquiries      

    SKILLS AND EXPERIENCE WE ARE LOOKING FOR

    • Vice President or Associate level 
    • Degree level or equivalent (not essential if has relevant working experience) 
    • Experience working in a compliance function preferably within the Equities advisory space 
    • Pro-active, self-motivated, assertive and well organised 
    • Ability to work independently and yet remain a strong team player 
    • Forward looking, focused on streamlining processes and increasing efficiency. 
    • Flexible and ability to multi-task 
    • Proactive approach to problem solving 
    • Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure 
    • Interest in the financial markets and a willingness to learn 
    • Personable, level headed and able work in harmony with others

    ABOUT GOLDMAN SACHS

    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



    © The Goldman Sachs Group, Inc., 2020. All rights reserved.
    Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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