- Providing advice and compliance oversight to IB personnel on transactions, new business initiatives and significant business changes affecting the firm, as well as compliance, regulatory and reputational issues
- Developing and implementing policies, procedures, and best practice standards within IB
- Keeping up to date with relevant regulatory/rule changes
- Creating and implementing new controls and surveillances to mitigate risks to the firm by analysing the transactional processes used in IB, as well as the activities and actions of individual bankers
- Assisting other compliance teams in monitoring IB activities to help ensure adherence to applicable laws, regulations and firm policies and procedures, including developing and executing surveillance and other forensic compliance programs
- Creating and implementing live and online compliance training programs to educate bankers on applicable compliance requirements, legal issues, and regulatory changes
- Assisting in responding to regulatory inquiries and investigations
- Demonstrated interest in financial markets and investment banking
- A highly motivated self-starter, who learns quickly and works well under pressure
- A critical thinker with strong analytical, problem solving and organizational skills
- Able to effectively summarize, communicate and defend positions
- A proactive team player, who enjoys working collaboratively across teams and disciplines
- Possess effective interpersonal and communication skills; the candidate should be outgoing, communicative, persuasive, and courteous
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Goldman Sachs London, United KingdomOUR 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 ...
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eFinancialCareers London, United KingdomThe leading Capital Markets Advisory Firm are in need of an Analyst to join their Capital Markets Advisory group in London. · This is a firm that specialises in the Capital Markets space and are noted for challenging tier 1 Elite Advisory firms. They pride themselves on maintaini ...
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Compliance, Investment Banking Compliance, M&A Advisory, Analyst, London - Goldman Sachs
Description
OUR IMPACTOur 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.
Investment Banking Compliance supports the Investment Banking business by providing advice and guidance on regulatory, legal and compliance matters. Investment Banking ("IB") includes M&A, financial advisory and financing transactions, including equity and debt capital markets, structured finance, credit finance and corporate derivatives. We currently have an opportunity available for an analyst in London, to cover the IB M&A Advisory business in EMEA.
YOUR IMPACT
RESPONSIBILITIES
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
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