Compliance - Equities - Associate - London

Job Description

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 firms culture of compliance. Compliance accomplishes these through the firms enterprise-widecompliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms responses to regulatory examinations, audits and inquiries. Youllbe 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. RESPONSIBILITIESAND QUALIFICATIONS WHO WE LOOK FOR This is a role within the EMEA Global Markets Compliance Team covering GSET, Futures Execution & Clearing and SIGMA X MTF businesses, specifically focusing on coverage of SIGMA X MTF and SIGMA X Europe MTF. The candidatewill be a part of a team of 4, including their reporting manager, who reports directly to the EMEA Head of Equities Compliance. The successful candidate will provide first line compliance support to the teams within the above business areas to ensure compliancewith internal policies and procedures and external regulatory requirements. The candidate should be able to: work in a multi-dimensional business that is heavily client focused, manage time effectively to respond to real-time queries and issues, and have theability to deliver on a diverse project workload. HOW YOU WILL FULFILL YOUR POTENTIAL Provide real-time compliance advice to business personnel, with regards to the rules, regulation and internal policies that govern their businesses Assisting with the interpretationand implementation of new rules/regulation/guidance/policy Prevent, detect and mitigate compliance, regulatory and reputational risk and help to strengthen the firms culture of compliance Act as a Compliance representative for any business lead projects/initiativesDeveloping and updating policies and procedures when applicable Help develop and deliver training as part of ongoing Compliance training programs tailored to suit the requirements of our various businesses, in addition to delivering ad-hoc training as andwhen required Co-ordinate with the broader Global Markets Compliance Team on EMEA initiatives and projects Investigating and coordinating responses to ad-hoc regulatory enquiries SKILLS & EXPERIENCE WERE LOOKING FOR Associate level Degree level or equivalent(not essential if has relevant working experience) Experience in compliance or trading (support or otherwise) Pro-active, self-motivated, assertive and well organized Able to work independently whilst remaining a strong team player Forward looking, focusedon streamlining processes and increasing efficiency Adaptable with the ability to multi-task Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure Effective communicator with the ability to build strong relationshipswith others Analytical, inquisitive and detail-oriented Keen interest in financial markets, products, and securities regulations, with a willingness to learn ABOUT GOLDMAN SACHS ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideasto 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 whoyou are makes you better at what you do. Were 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, fromour 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 . Were committed to finding reasonable accommodationsfor candidates with special needs or disabilities during our recruiting process. Learn more: https:// careers/footer/disability-statement.htmlThe Goldman Sachs Group, Inc., 2021. All rights reserved. Goldman Sachs is an equal employment/affirmative actionemployer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity