OUR IMPACT

Global Compliance manages the firm’s compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. We monitor trends and changes in regulations in all jurisdictions in which the firm does business, and we develop and implement firmwide policies and procedures. In addition to advising the firm’s businesses, Global Compliance is responsible for managing audits and inquiries, educating our people on our policies and procedures, surveillance and testing the firm’s risk management infrastructure.

DIVERSITY & INCLUSION

Our people are our greatest asset. We believe that a major strength and principal reason for our success is the quality, dedication, determination and collaboration of our people, which enables us to serve our clients, generate long-term value for our shareholders and contribute to the broader community.

JOB SUMMARY & RESPONSBIBILITIES. 

YOUR IMPACT

We are recruiting for an (up to) Associate position to join the Derivatives team within Equities Compliance, providing first-line compliance support and advice to Sales, Trading, Structuring and Strats within the Equity Derivatives businesses, which include Flow and Strategic Equity Derivatives, Structured Products and Systematic Trading Strategies. The candidate should be able to work in a multi-dimensional business environment that is heavily client focused and organise their time to deal with real-time issues, as well as delivering on a diverse project workload.

RESPONSIBILTIES

Assist in the provision of 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 or support for business-led projects/initiatives Developing and updating policies & procedures to applicable businesses 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 Partner with other central Compliance teams and other support functions in resolving queriesCo-ordinate with the broader Global Compliance Team on EMEA and Global initiatives and projects as a representative for Equities Compliance Assist with the annual Compliance Risk Assessment Partner with Surveillance and Financial Crime Compliance in resolving surveillance alerts identified systematically or via desk escalationAssessing the impact of new financial regulations, setting internal Compliance policies and providing appropriate guidance Coordinate and review responses to exchanges/regulatorsReview and assist with Compliance sign off for electronic trading activities relating to our various businessesReview and assist with providing Compliance sign-off for new index approval requests, systematic trading strategies and their associated marketing materials 

OTHER REQUIREMENTS

Degree level or equivalent (not essential if relevant working experience) Experience within Compliance, including Equities or Equities Derivatives Compliance an advantageGood understanding of capital markets, with benchmarks / derivatives / structured products / retail distribution knowledge an advantage, but not requiredExperience of performing a Compliance advisory role in a global investment bank and understanding of applicable regulations and rules (MiFID, MAR/MAD, COBS, exchange rules) an advantage, but not requiredUnderstanding of FCA Consumer Duty an advantage, but not requiredPro-active, self-motivated, enthusiastic, well organised and keen to learn Ability to work independently, be a strong team player and manage relationships/stakeholders at all levelsDemonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure  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.
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