Global Banking and Markets (Public) FICC Compliance, Vice President, London

Global Banking and Markets (Public) FICC Compliance, Vice President, London

Job Description

This is a VP level role within the Global Banking and Markets (Public) FICC Compliance Team, based on the trading floor in London. The role entails providing compliance coverage for our market leading GCEM (Global Currencies and Emerging Markets) business.

WHO WE ARE

The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals.

OUR IMPACT

The Compliance division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance.

As an independent control function and part of the firm’s second line of defence, 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.

Requirements of the role

• Trading floor-based role providing real-time compliance advice with regard to relevant rules, regulations and internal policies that govern the business.
• Provision of pro‑active risk mitigation instructions on regulatory and policy matters, including individual transactions, new products and business initiatives.
• Assisting with the interpretation and implementation of new rules / regulation.
• Developing and delivering of both ad‑hoc and annual face‑to‑face training.
• Developing and deploying second line controls and assisting the first line with the development of their controls.
• Reviewing new algorithms and other electronic‑related business initiatives.
• Review of complex and strategic marketing materials and committee memos.
• Co‑ordination with the broader Compliance teams and Financial Crime Compliance on initiatives and projects.
• Co‑ordinating with broader firm departments, such as Controllers, Operations, Internal Audit and Legal.
• Participation in compliance, regulatory and internal investigations and audits, including utilising firm systems to conduct forensic reviews.
• Liaising with local regulators and Exchange and venue operators and coordination of responses to ad‑hoc exchange and regulatory enquiries.
• Contributing to the Global Compliance programme of work, including assisting on exercises such as the Compliance Risk Assessment.

SKILLS AND EXPERIENCES WE ARE LOOKING FOR

• Minimum 5 years Markets Compliance experience, ideally gained by working on a trading floor for a Tier 1 house or others with sophisticated market making / hedging business units and / or complex financing capabilities
• Degree level or equivalent (not essential if has relevant working experience)
• Professional qualifications such as CISI Diploma, CFA, Solicitor or Bar exams, an advantage
• Excellent practical understanding of FICC asset classes (both Cash and Derivatives), ideally including FX, Rates, Credit and Emerging Markets (FICC) experience
• Pro‑active, self‑motivated, assertive and well organized
• Ability to work independently and yet remain a strong team player
• Ability to handle multiple tasks simultaneously and work to tight deadlines
• Excellent communication skills, both written and oral
• Languages an advantage (particularly French and/or German)
• Proactive approach to problem solving
• Deep interest in compliance/financial markets and a willingness to continually learn
• Excellent understanding of UK, EU and US regulations (MIFID II, MAR, Benchmark Regulation, EMIR, CSDR, CFTC, SEC)
• Ability to enrich and thrive in an international and diverse, inclusive environment

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.

• Locations London, Greater London, England, United Kingdom

Healthcare & Medical Services

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.

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

Health

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state‑of‑the‑art on‑site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on‑site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre‑approved amount).

We offer on‑site child care centers that provide full‑time and emergency back‑up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Benefits at Goldman Sachs

Read more about the full suite of class‑leading benefits our firm has to offer.

Learn More

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