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Compliance - Securities Division Compliance - Currencies and Commodities - Vice President - London

Employer
Goldman Sachs International
Location
London, United Kingdom
Salary
Competitive
Closing date
Apr 18, 2019

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
MORE ABOUT THIS JOB JOB SUMMARY

This is a VP level role within the London Securities Division Compliance Team providing compliance coverage across market leading Currencies and Commodities business units.
The role reports into the EMEA Head of Currencies and Commodities Compliance and is part of the FICC Compliance team that sits within the Securities Division Compliance Team.

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. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centres around the world.

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.

RESPONSIBILITIES AND QUALIFICATIONS HOW YOU WILL FULFILL YOUR POTENTIAL
  • Trading floor based role providing real-time compliance counsel to both the Currencies and Commodities business units, with regards to relevant rules, regulations and internal policies that govern the Securities Division business
  • Provision of pro-active risk mitigation instructions on regulatory and policy matters including individual transactions, new products and business initiatives
  • Assistance with the interpretation and implementation of new rules/regulation
  • Development and delivery of both ad-hoc and annual face to face training
  • Development and deployment of second line controls and assisting the first line with the development of their controls
  • Review of new algorithms and other electronic related business initiatives
  • Review of complex and strategic marketing materials
  • Co-ordination with the broader Securities Division Compliance Team as well as Federation and Financial Crime Compliance on initiatives and projects
  • Participation in compliance regulatory and internal investigations and audits
  • Liaison with local regulators and Exchange/MTF operators and coordination of responses to ad-hoc regulatory enquiries
SKILLS AND EXPERIENCE WE ARE LOOKING FOR
  • Vice President level
  • Minimum 5 years markets compliance experience gained by working on a trading floor for a Tier 1 house or others with sophisticated algorithmic/electronic business units and/or complex financing capabilities
  • Degree level or equivalent (not essential if has relevant working experience) preferably with a Legal, Finance or Computer Science related degree
  • Professional qualifications such as CA, CFA, Solicitor or Bar exams an advantage
  • Excellent practical understanding of FICC asset classes (both Cash and Derivatives), ideally Currencies and/or Commodities
  • Pro-active, self-motivated, assertive and well organized
  • Ability to work independently and yet remain a strong team player
  • Forward looking, focused on improving and streamlining controls and processes
  • 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)
  • Ability to code or understand code would be an advantage
  • Previous experience of trading FICC products would be an advantage
  • Previous experience of VBA/Tableau/Alteryx would be an advantage
  • Proactive approach to problem solving
  • Deep interest in the financial markets and a willingness to continually learn
  • Excellent understanding of EU and US regulations (MIFID II, MAR, Benchmarks, REMIT, FX Global Code, LBMA Precious Metals Code, EMIR, CFTC, SEC...)
  • Ability to enrich and thrive in an international and diverse, inclusive environment


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.

© The Goldman Sachs Group, Inc., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

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