Global Markets Compliance, Equities Advisory, Associate, London Global Markets Compliance, Equities Advisory,  …

Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 30 Nov 20
Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 30 Nov 20
Global Markets Compliance, Equities Advisory, 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.

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.


You will provide support to the various areas within the Equity businesses which includes Prime Services, Financing and Synthetics Sales and Trading.

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.

  • 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 Prime Services, Financing and Synthetics Sales and Trading 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 Global Markets Compliance Team on EMEA initiatives and projects as a representative for the Equities Compliance team.
  • Assisting with the interpretation and implementation of new rules/regulation.
  • Coordinating and drafting responses to regulatory enquiries.
  • Experience at the Associate or more senior level
  • Degree level or equivalent (not essential if has relevant working experience)
  • Experience working in a compliance function preferably within the Global Markets businesses
  • 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 span
  • 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 other


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 .

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://

© 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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