Compliance, Operations Technology Finance & Services (OTF&S) Compliance, Analyst/Associate, London

  • Competitive
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Goldman Sachs International
  • 17 nov. 17 2017-11-17

See job description for details

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.

This is an opportunity to join the Compliance team that provides dedicated compliance support to the Operations, Technology, Finance, Services & HCM functions (the Federation), reporting into the London based Compliance Executive Director responsible for managing a team focused on providing Compliance advice on certain Reporting Rules and Regulations. The role is very broad in nature, and the successful candidate should be able to work in a multi-dimensional business that is heavily control focused and be able to organize a team to deliver sound advice to deal with time sensitive issues as well as daily obligations and project workload.


  • Provide day-to-day advisory service to the Federation on the firm's policies and regulations that apply to these functions.
  • Review regulatory developments and reform to ensure the business is able to support them.
  • Develop policies & procedures.
  • Work alongside risk teams to identify and mitigate any compliance risk inherent in those areas.
  • Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses.
  • Provide oversight to the team on various project initiatives.
  • Degree level (ideally a Law degree).
  • At least 2 to 3 years of experience working in Compliance.
  • A knowledge of the following is ideal (but not essential): Equities, fixed income, funds, OTC and listed derivatives products Trading, sales, clearing and settlement processes & practices Systems & controls Client asset protection Transaction reporting, takeover panel, large position reporting Client reporting Record keeping Governance obligations EMIR/CFTC
  • Interest in the operational aspects of financial markets and a willingness to learn and keep abreast of the ever changing regulatory landscape applicable to the firm.
  • Pro-active, self-motivated and well organized along with strong abilities to influence others in a dynamic environment
  • Ability to work independently, but still be a strong team player.
  • Great attention to details.
  • Strong control focus.
  • Flexibility and ability to multi-task.
  • Hands on, proactive approach to problem solving.

ABOUT GOLDMAN SACHS 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. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

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Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.