Jobs
>
London

    Compliance, Equities Compliance, Associate, London - Goldman Sachs

    Goldman Sachs
    Goldman Sachs London, United Kingdom

    2 weeks ago

    Default job background
    Full time
    Description
    OUR IMPACT
    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.

    YOUR IMPACT
    This is a role within the EMEA Global Markets Compliance Team covering equities electronic and voice trading across developed and emerging markets, as well as coverage of SIGMA X MTF. The candidate will be a part of a team of seven London based and one EU based employees, including their reporting manager, who reports to the EMEA Head of Global Markets.
    The successful candidate would provide first line compliance support to the teams within the above business areas to ensure compliance with internal policies and procedures and external regulatory requirements.
    The candidate should be able to: work in a multi-dimensional business that is heavily client focused, manage time effectively to respond to real-time queries and issues, and have the ability to deliver on a diverse project workload.

    HOW YOU WILL FULFILL YOUR POTENTIAL
    • Provide real-time compliance advice to business personnel, with regards to the rules, regulation and internal policies that govern their businesses
    • Assisting with the interpretation and implementation of new rules/regulation/guidance/policy
    • Prevent, detect and mitigate compliance, regulatory and reputational risk and help to strengthen the firms culture of compliance
    • Act as a Compliance representative for any business lead projects/initiatives
    • Developing and updating policies and procedures when applicable
    • Help develop and deliver training as part of ongoing Compliance training programs tailored to suit the requirements of our various businesses, in addition to delivering ad-hoc training as and when required
    • Co-ordinate with the broader Global Markets Compliance Team on EMEA initiatives and projects
    • Investigating and coordinating responses to ad-hoc regulatory or internal enquiries

    SKILLS & EXPERIENCE WE'RE LOOKING FOR
    • Associate
    • Degree level or equivalent (not essential if has relevant working experience)
    • Pro-active, self-motivated, assertive and well organized
    • Able to work independently whilst remaining a strong team player
    • Forward looking, focused on streamlining processes and increasing efficiency
    • Adaptable with the ability to multi-task
    • Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
    • Effective communicator with the ability to build strong relationships with others
    • Analytical, inquisitive and detail-oriented
    • Keen interest in financial markets, products, and securities regulations, with a willingness to learn
    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

    We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

    The Goldman Sachs Group, Inc., 2023. All rights reserved.
    Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
  • Barclay Simpson

    Compliance Associate

    2 weeks ago

    Barclay Simpson London, United Kingdom

    **Compliance Associate**: · - London · - £70,000 - £80,000 · - Job type: Permanent · - Sector: Asset Management & Funds · - Job reference: JB41244 · Barclay Simpson are currently recruiting for a Compliance Associate to join a globally renowned asset management house. This is rar ...

  • eFinancialCareers

    Compliance Associate

    3 weeks ago

    eFinancialCareers London, United Kingdom

    Maldon Partners are recruiting a **Compliance Associate **on a permanent basis for a market leading Fixed income Asset Management firm based in the city. · The firm has a global reach with offices in London and NY and has a current AUM £18bn · Hybrid working is on offer · **The R ...

  • Douglas Scott Legal Recruitment

    Compliance Associate

    1 week ago

    Douglas Scott Legal Recruitment London, United Kingdom

    An ambitious and diligent Compliance Associate is wanted for a growth driven opportunity with a fast growing financial services regulatory consultancy with a global footprint. Applications are invited from commercially minded Compliance Associates with upwards of 2 years payment ...

  • Synchronicity Group

    Compliance Associate

    1 week ago

    Synchronicity Group London, United Kingdom

    **Compliance Associate, London. c£45,000 plus bonus & benefits. (Hybrid working)** · **Synchronicity Compliance** are working with a leading global Consultancy Practice who are looking for someone to join their Insurance & Lending team. · This is a great opportunity to further de ...

  • Millennium Management LLC

    Compliance Associate

    3 weeks ago

    Millennium Management LLC London, United Kingdom

    Compliance Associate · Principal Responsibilities · - Assist in the maintenance and administration of the Firm's personal account dealing programme including account approvals, trade pre-clearance, reconciliation and monitoring and sampling · - Assist in the maintenance and admin ...

  • Fiera Capital

    Compliance Associate

    1 week ago

    Fiera Capital London, United Kingdom

    At Fiera Capital · We invest in creating a culture of purpose that makes our people feel valued, cared for, seen, and heard. Our approach to employee experience is tailored to your needs and ambitions: · - Your Inclusive Experience: We are committed to cultivating an inclusive, s ...

  • DNA Payments Group

    Compliance Associate

    3 weeks ago

    DNA Payments Group London, United Kingdom

    **The opportunity** · We're looking for a Compliance Associate to join our expanding team based in London. Reporting to the Head of Compliance/MLRO, the purpose of your role is to undertake financial crime risk reviews on DNA Payments systems and controls with the support ofthe M ...

  • Alchemy Prime Limited

    Compliance Associate

    3 weeks ago

    Alchemy Prime Limited London, United Kingdom

    **What are we looking for?** · The Compliance Associate will be a member of the Compliance team and will successfully support the Head of Compliance. Your role would be to support all aspect of the MiFID business, including a variety of core compliance areas and technical AML ass ...

  • Intermediate Capital Group

    Compliance Associate

    3 weeks ago

    Intermediate Capital Group London, United Kingdom

    Job Title: Compliance Associate (12 month FTC) · Location: London, St Pauls · Department Compliance · Reporting to: Compliance Director · ICG Summary · ICG (Intermediate Capital Group) is a FTSE-listed, FCA-regulated alternative asset manager creating sustainable value by partner ...

  • Millennium Management LLC

    Compliance Associate

    3 weeks ago

    Millennium Management LLC London, United Kingdom

    Compliance Associate · Principal Responsibilities · - Administer the SMCR certification process including maintaining and improving the process · - Assist with other SMCR processes including reasonable steps · - Provide guidance and assistance regarding SMCR to various internal s ...

  • DNA Payments Group

    Compliance Associate

    3 weeks ago

    DNA Payments Group London, United Kingdom

    **The opportunity** · We're looking for a Compliance Associate to join our expanding team based in London. Reporting to the Head of Compliance, the purpose of your role is to implement and maintain the firm's 2nd line Compliance Oversight Programme with the support of the Complia ...

  • Thriva

    Compliance Associate

    2 weeks ago

    Thriva London, United Kingdom

    At Thriva, we're constantly trying new things to understand how we can improve people's lives by **putting better health in their hands** with **tools they can trust, advice that they can action, and the support to get them there**. · We're rated as the **best preventative health ...

  • Charles Stanley

    Compliance Associate

    3 weeks ago

    Charles Stanley London, United Kingdom

    **Job Purpose**: · To support the Head of Advisory & Complaints with providing advice and guidance to the business, and in ensuring that client complaints are handled promptly and properly. · **Key Areas of Responsibility**: · - Provide advice and support to the business regardin ...

  • Compliance Professionals

    Compliance Associate

    2 weeks ago

    Compliance Professionals London, United Kingdom

    **THE COMPANY**: · Our client is a successful open-end investment fund based in the City. They are looking for a Compliance generalist with a development path to support the objectives and activities of the Compliance team. · **THE RESPONSIBILITIES**: · - Performing, supporting & ...

  • Willow Resourcing

    Compliance Associate

    3 weeks ago

    Willow Resourcing London, United Kingdom

    Looking to use your experience with the Ombudsman or the Regulator to move into an in-house Compliance role? · Here's your chance. This is an ideal opportunity to do exactly that in a broad, generalist Compliance role that will provide a fantastic foundation on which to build you ...

  • eFinancialCareers

    Compliance Associate

    1 week ago

    eFinancialCareers London, United Kingdom

    In this position you must: · - Be able to review Financial Promotions to ensure compliance with Laws and Regulations globally · - Assist with the review and update of policies and procedures · - Keep up to date with regulatory developments · To be considered for this position you ...

  • Compliance Professionals

    Compliance Associate

    2 weeks ago

    Compliance Professionals London, United Kingdom

    **THE COMPANY**: · Our client is a prestigious private wealth firm based in the West End. · **THE RESPONSIBILITIES**: · - Review and closure of daily Market Abuse and Transaction Monitoring alerts - working closely with the Front Office to ensure timely closure. · - Escalation to ...

  • SEI1GLOBAL

    Compliance Associate

    1 week ago

    SEI1GLOBAL London, United Kingdom

    This role is a fantastic opportunity to start your Compliance career and we are looking for an enthusiastic, self-motivated, inquisitive team player with effective communication and problem-solving skills. You will be hard working with a desire to contribute to the success of a f ...

  • Morgan McKinley

    Compliance Associate

    3 weeks ago

    Morgan McKinley London, United Kingdom

    Provide Regulatory/Compliance support including but not limited to: · - Assistance with regulatory filings and related compliance requirements · - Maintenance of written policies and procedures whilst contributing to regulatory analysis · - Development and delivery of training to ...

  • Blackstone Group

    Compliance, Associate

    2 weeks ago

    Blackstone Group London, United Kingdom

    Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help c ...