Career Center


Compliance Testing Group, Associate - London
Goldman Sachs
SAVE savedJobs
SAVE savedJobs

Compliance Testing Group, Associate - London

Goldman Sachs

Gmail Email Print
Application
The application opened in a new tab.
By using this feature you agree to our Terms and Conditions and Privacy Policy.
Details
Posted:
April 2, 2021
Location:
London, United Kingdom
Salary:
Open
Type:
Full Time
MORE ABOUT THIS JOB
GLOBAL COMPLIANCE
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.

RESPONSIBILITIES AND QUALIFICATIONS
Job Summary & Responsibilities

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities, and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments, and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in other major financial centers around the world.

This is an exciting opportunity for an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to join the firm's Compliance Testing Group to conduct detailed reviews covering the various firm businesses and divisions. In performing these reviews, the individual will use advanced testing techniques to check compliance with regulations and the firm's policies, procedures, and compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and other Federation Divisions, including, among others, portfolio managers, private wealth managers, traders, sales employees, investment bankers, research analysts, and technologists.

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, 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.

Responsibilities:
  • 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

Basic Qualifications
  • Bachelor's Degree
  • Broad knowledge of financial products, markets, and FCA/ European laws and regulations.
  • 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
  • Fluency in English

Preferred Qualifications
  • Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications)
  • Working knowledge of products offered by the Equities, Foreign Exchange, Interest Rates, Commodities or Credit Markets trading desks
  • 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


ABOUT GOLDMAN SACHS
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.

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 .

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https:// www.goldmansachs.com/careers/footer/disability-statement.html

© The Goldman Sachs Group, Inc., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Internal Number: 10443552
More Jobs from This Employer
More Jobs Like This
Construction Technician I-II   Arkansas
Arkansas Electric Cooperatives Yesterday
Phlebotomy Technician   Denver, Colorado
National Jewish Health Yesterday
Chief Executive Officer   Santa Barbara, California
Girls Inc. of Greater Santa Barbara Yesterday
BACK TO TOP
Help is on the way!
We're sorry you are having trouble applying for this job.

Please try loading this job using the following link before submitting your help request:
Powered By Naylor Association Solutions


For additional assistance contact Customer Support at 888.491.8833 x 2643 / customersupport+984193@support.boxwoodtech.com