Goldman Sachs Compliance Testing Group Associate / Vice President London 

United Kingdom, England, London 

628370208

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.

• 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

• Bachelor’s Degree
• Broad knowledge of financial products, markets, and FCA/ European laws and regulations.
• Knowledge of products in the Global Markets and Banking business and sales practices, i.e., prior experience in sales and trading, product controllers, Compliance, Legal, regulatory, audit or risk management functions
• 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
• Specialist knowledge of products offered by the Equities, Foreign Exchange, Interest Rates, Commodities or Credit Markets trading desks, gained through auditing/ Compliance role covering Global Banking & Markets.
• 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