Discover your dream Career
For Recruiters
Goldman Sachs International

Compliance, Compliance Testing Group Associate, London

Goldman Sachs London, United Kingdom
Posted 23 days ago Permanent Competitive
Compliance, Compliance Testing Group Associate, London
OUR IMPACT
This is an exciting opportunity for an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to join the firm's Compliance Testing Group to conduct detailed reviews covering the various firm businesses and divisions. In performing these reviews, the individual will use advanced testing techniques to check compliance with regulations and the firm's policies, procedures, and compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and other Federation Divisions, including, among others, portfolio managers, private wealth managers, traders, sales employees, investment bankers, research analysts, and technologists.
YOUR IMPACT
The Compliance Testing Group has a global reach. It is comprised of experienced individuals with varying backgrounds and qualifications (including former traders, brokers, auditors, accountants, regulators, prosecutors, compliance professionals, lawyers, and product controllers), located in New York, Salt Lake City, Dallas, London, Warsaw, Singapore, Hong Kong, and Tokyo. The individual will work closely with Compliance and business management, and gain an excellent understanding of both the firm's businesses and the rules and regulations under which the firm operates.
Responsibilities:
  • Propose methods of testing and execute plans discussed and agreed with a team leader
  • Gather data, perform analyses, and document results
  • Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
  • Multi-task - have the ability to work on several different reviews with different individuals at the same time
  • Leverage strong communication skills to interact with Compliance and business senior management
  • Work with stakeholders to implement action plans to mitigate and address compliance risks
  • Meet tight deadlines
Basic Qualifications:
  • Bachelor's Degree
  • Broad knowledge of financial products, markets, and FCA/ European laws and regulations.
  • Excellent written English skills, with ability to describe complex issues in a clear and concise manner
  • Excellent interview, presentation, communication, time management, and analytical skills
  • Integrity, motivation, intellectual curiosity, and enthusiasm
  • Knowledge of Microsoft Word and Excel
Preferred Qualifications:
  • Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications)
  • Compliance, auditing, testing, legal, or regulatory/law enforcement experience
  • Significant experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting or Big 4 financial services advisory firm, or a national regulator
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., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Job ID  300007719213943
ABOUT COMPANY
London, United Kingdom
75102 Employees Investment Banking / M & A
At Goldman Sachs, we believe progress is everyone’s business. That’s why we commit our people, capital and ideas to help our clients, shareholders and...
More jobs From Goldman Sachs
Goldman Sachs
Compliance, Market Surveillance Compliance Governance Group, Associate/Vice President, London
Goldman Sachs
London, United Kingdom
9 days ago Full time Competitive
Goldman Sachs
Compliance, Regulatory Practice Group, Associate, London
Goldman Sachs
London, United Kingdom
2 months ago Full time Competitive
Goldman Sachs
Compliance, Legal & the Conflicts Resolutions Group, Associate, London
Goldman Sachs
London, United Kingdom
2 months ago Full time Competitive
Goldman Sachs
Compliance, Global Banking and Markets, Electronic Trading Compliance, Associate, London
Goldman Sachs
London, United Kingdom
7 days ago Full time Competitive
Goldman Sachs
Internal Audit - Compliance & Legal - Associate - London
Goldman Sachs
London, United Kingdom
28 days ago Full time Competitive
Goldman Sachs
Compliance, Equities Compliance, Derivatives and Structured Products, Associate, London
Goldman Sachs
London, United Kingdom
27 days ago Full time Competitive
Goldman Sachs
Compliance, Corporate Treasury, Vice President, London
Goldman Sachs
London, United Kingdom
3 days ago Full time Competitive
Goldman Sachs
Compliance, Transaction Banking (TxB) Compliance, Associate/Executive Director, London
Goldman Sachs
London, United Kingdom
3 months ago Full time Competitive
Goldman Sachs
Compliance, Equities Derivatives Compliance, Executive Director, London
Goldman Sachs
London, United Kingdom
17 days ago Full time Competitive

Boost your career

Find thousands of job opportunities by signing up to eFinancialCareers today.
More Jobs Like This