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Compliance - Federation Compliance - London - Vice President

Goldman Sachs
Closing date
24 Oct 2021

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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.


Part of the Global Compliance Division, the firm's Federation Compliance team is comprised of more than 40 professionals globally who have responsibility for providing compliance coverage to the "the Federation" which is composed of Operations, Engineering, Controllers, Finance, Corporate Treasury, Risk, Corporate and Workplace Solutions, Executive Office, Firmwide Strategy, Tax and Human Capital Management, divisions. The team has members in Bengaluru, Dallas, Hong Kong, London, New York, Salt Lake City, Singapore, Tokyo, and Warsaw.

Federation Compliance contributes to the compliance mandate by: performing compliance risk assessments; conducting surveillances and investigations of business activities; testing controls; monitor compliance with policies and regulations; and partnering with the business to create a robust control framework.

Federation Compliance is looking for a talented individual to join the team, to cover Operations teams located in EMEA.


This role will focus on, but not be limited to, providing Compliance coverage of Operations in EMEA with responsibility for non-financial regulatory reporting requirements such as EMIR, SFTR, MiFID II Transaction Reporting and Position Reporting, Client Assets and derivatives risk mitigation requirements such as margin rules, confirmation timeliness, portfolio compression, and portfolio reconciliation. This role has a diverse scope covering all assets classes, for multiple reporting obligations for GS Legal Entities in EMEA.

A successful candidate will also participate in region-wide and global initiatives to enact the Global Compliance mandate.

To fulfil this role, you will:
  • Advise, challenge and influence the Federation about regulations, policies and reputational risk
  • Identify, investigate and manage compliance issues involving the Federation
  • Analyze regulatory changes and enforcement actions to assess the impact to the Federation, and participate in work to ensure the business is able to support new requirements
  • Provide support and guidance to Operations in dealing with regulators
  • Conduct forensic reviews to monitor the Federation's compliance with regulations and firm policies
  • Recommend compliance testing work to be performed for the Federation
  • Draft and assist in the implementation of policies and procedures
  • Develop and deliver communication and training to the Federation
  • Investigate and liaise with internal stakeholders in relation to conduct issues
  • Provide support and guidance to Operations in interactions with regulators
  • Provide support and guidance to Operations in managing information barriers


A strong candidate for Federation Compliance will satisfy some or all of the following criteria:
  • Bachelor's degree; advanced degree in relevant field (e.g., J.D., LL.M., M.B.A.) is a plus but not required
  • At least 6 years of work experience, including 3 years as a compliance officer or in a risk management role focused on EMEA derivatives regulatory reporting
  • Knowledge of operational practices in securities and derivatives markets
  • Knowledge of regulations, practices and markets infrastructure in the UK and in Europe
  • Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries

A strong candidate for Federation Compliance will possess the following skills:
  • Clear, concise communications skills; able to communicate with impact at senior levels
  • Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
  • Sound judgment, ethics and integrity
  • Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
  • Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
  • Team-oriented and supportive of others' success; comfortable representing a team work product to stakeholders

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.
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