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Compliance-Global Markets Compliance - Associate - London

Goldman Sachs
London, United Kingdom
Closing date
Feb 12, 2022

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
This is an associate level role within the Global Markets Compliance Team, based on the trading floor in London. Role entails providing compliance coverage across market leading Credit, Mortgages, Structured Finance and Commodities business units.
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.
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 counsel to the Credit and Mortgages business units, with regards to relevant rules, regulations and internal policies that govern the Global Markets business, and leading the compliance messaging for this business area.
  • Ability to develop and supervise more junior members of staff
  • 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 and committee memos
  • Co-ordination with the broader Global Markets Compliance Team as well as Central/Federation and Financial Crime Compliance on initiatives and projects.
  • Co-ordination 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/venue operators and coordination of responses to ad-hoc regulatory enquiries.

  • Associate level
  • Minimum of 3 years of 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
  • Professional qualifications such as CISI Diploma, CFA, Legal exams, an advantage
  • Practical understanding of FICC asset classes (both Cash and Derivatives), ideally including Credit 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
  • Understanding of EU and US regulations (MIFID II, MAR, Benchmarks, EMIR, CSDR, CFTC, SEC).
  • Ability to enrich and thrive in an international and diverse, inclusive environment


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., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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