Global Markets Compliance Officer STS, Associate, London

Goldman Sachs
London, UK
Closing date
2 Oct 2020

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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.

At Goldman Sachs, our culture is one of teamwork, innovation and meritocracy. We often say our people are our greatest asset and we take pride in supporting each colleague both professionally and personally. From collaborative work spaces and mindfulness classes to working from home and flexible work options, we offer our people the support they need to reach their goals in and outside the office.

The Role

This role sits within the European Global Markets Compliance team and primarily covers the Systematic Trading Strategies (STS), Equity Exotics Trading, Equity Derivative Sales, Structured Product Third Party Distribution and Funds Platform businesses based in London. You will also be required to work closely with other departments, such as Risk, Controllers, Operations, Credit, Internal Audit and Legal as well as colleagues in Global Markets Compliance based in other offices. The role reports to a Global Markets Compliance VP based in London.
  • Provide real-time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern the Global Markets business
  • Provide advice on a number of regulatory and policy matters including individual transactions, new products and business initiatives
  • Assist with the interpretation and implementation of new rules/regulation
  • Develop policies, procedures, and compliance updates for each business unit in the coverage areas
  • Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual 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 and Global initiatives and projects
  • Participate in compliance regulatory and internal investigations and audits
  • Coordinate responses to ad-hoc regulatory enquiries
Experience and Qualifications
  • Minimum 3+ years compliance experience of working with European regulations including the EU Benchmark Regulation, MiFID, UCITS and AIFMD
  • Degree level or equivalent (not essential if has relevant working experience) preferably with a Legal degree or Finance related
  • Experience working in a compliance function for Equity and Fixed Income businesses preferably with a trading floor/advisory
  • Proactive, self-motivated, assertive and well organized
  • Ability to work independently and yet remain a strong team player
  • Have a positive, hands-on, "can do" attitude
  • Forward looking, focused on streamlining processes and increasing efficiency
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Fluent in English, fluency in additional European languages would be beneficial
  • Strong communication skills both written and oral
  • Proactive approach to problem solving
  • Interest in the financial markets and a willingness to learn
  • Able to work in an international environment with various regulations (MIFID, UK, CFTC, EMIR etc)


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: https://

© The Goldman Sachs Group, Inc., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
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