Compliance - GMC FICC - Associate - London Compliance - GMC FICC - Associate - London …

Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 07 May 21
Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 07 May 21
Compliance - GMC FICC - Associate - London

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.

Functional Responsibilities :
  • Review and Oversight of Controls
  • Review of surveillance exceptions with Business Personnel and Compliance Officers.
  • Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
  • Oversight of exception reviews generated by detective controls.
  • Identify enhancements to existing controls.
  • Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
  • Participate in periodic risk assessments. Development of Controls
  • Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.
  • Apply a consistent approach across businesses, products and regions.
  • Develop associated functional specifications and testing scripts.
  • Develop and/or enhance systematic processes for escalating issues.
  • Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.
  • Coordinate issues, findings and practices with colleagues across regions and/or divisions.
  • Generation of management reports / Management information Systems.
  • Reporting of exception reviews generated by detective controls.
Preferred Qualifications:
  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Good interpersonal skills and excellent written/oral communication skills.
  • Ability to work with a variety of senior and junior people, and build smooth working relationships.
  • Highest attention to detail.
  • Good team player - one who is able to prioritize in a fast moving, constantly changing environment.
  • Entrepreneurial inclination - ability to work alone and act as project manager.
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.


The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Bangalore, Hong Kong and other major financial centers around the world.

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