Global Market Compliance - Equities - Vice President - London Global Market Compliance - Equities - Vice  …

Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 09 May 21
Competitive
Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 09 May 21
Competitive
Global Market Compliance - Equities - Vice President - London
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 ergonomic services to wellbeing and resilience offerings, we offer our Compliance professionals the flexibility and support they need to reach their goals in and outside of 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 led 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
  • Coordinate with the broader Global Markets 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
  • Degree level or equivalent (not essential if has relevant working experience)
  • Minimum 5 years relevant 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 with the ability to multi-task
  • Proactive approach to problem solving
  • Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
  • Personable, level headed and able work in harmony with others


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