Responsibilities
1. Provide real-timepliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies thatern their businesses
2. pliance representative for business-led projects/initiatives
3. Developing and updating policies & procedures to applicable businesses
4. Develop and deliver training as part of ongoingpliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required
5. Partner with Federationpliance and other support functions in resolving queries
6. Co-ordinate with the broader Globalpliance Team on EMEA initiatives and projects as a representative for Equitiespliance
7. Assist with the annualpliance Risk Assessment
8. Partner with Surveillance and Financial Crimepliance in resolving surveillance alerts identified systematically or via desk escalation
9. Assessing the impact of new financial regulations, setting internalpliance policies and providing appropriate guidance
10. Coordinate and review responses to exchanges/regulators
11. Review and providepliance sign off for electronic trading activities relating to our various businesses
12. Review and providepliance sign-off for new index approval requests, systematic trading strategies and their associated marketing materials
Other Requirements
13. Degree level or equivalent (not essential if relevant working experience)
14. At least 5 yrs relevant experience
15. Good understanding of capital markets, with benchmarks / derivatives / structured products knowledge an advantage, but not required
16. Experience of performing apliance advisory role in a global investment bank and understanding of applicable regulations and rules (MiFID, MAR/MAD, COBS, exchange rules) an advantage, but not required
17. Understanding of FCA Consumer Duty an advantage, but not required
18. Pro-active, self-motivated, enthusiastic, well organised and keen to learn
19. Ability to work independently, be a strong team player and manage relationships/stakeholders at all levels
20. Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
ABOUT GOLDMAN SACHS
At Goldman Sachs, wemit our people, capital and ideas to help our clients, shareholders and themunities 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'remitted 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/careers.
Job ID 300007063635270