Goldman Sachs Compliance Equities Derivatives Executive Director London 

United Kingdom, England, London 

961809734

Responsibilities

• 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 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 Federation Compliance and other support functions in resolving queries
• Co-ordinate with the broader Global Compliance Team on EMEA 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 escalation
• Assessing the impact of new financial regulations, setting internal Compliance policies and providing appropriate guidance
• Coordinate and review responses to exchanges/regulators
• Review and provide Compliance sign off for electronic trading activities relating to our various businesses
• Review and provide 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)
• At least 5 yrs relevant experience
• Good understanding of capital markets, with benchmarks / derivatives / structured products knowledge an advantage, but not required
• Experience 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 required
• Understanding of FCA Consumer Duty an advantage, but not required
• Pro-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 levels
• Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure

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 GS.com/careers.