GLOBAL COMPLIANCE

Our division prevents, detects and mitigates compliance, regulatory and reputational risks 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 defence, Compliance assesses the firm’s compliance, regulatory and reputational risks; 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 

Are you looking for a Compliance role which will give you exposure to all divisions of Goldman Sachs and at all levels? We are looking for a highly organised professional with strong analytical and communication skills to join our RCC team in Birmingham.

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. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

HOW YOU WILL FULFILL YOUR POTENTIAL 

The RCC team has day to day oversight of the firm’s relationships with its regulators and acts as a point of central coordination for EMEA Compliance deliverables and reporting.  The team is the first port of call for all regulatory interaction; the team handles enquiries from regulators across EMEA but primarily from the FCA and Senior Manager Function applications and associated reporting for EMEA. In addition to coordinating the programme of regulatory supervisory engagement, its responsibilities also include the management of regulatory audits by the FCA (which typically involve onsite meetings). As a member of the RCC team, your day to day role will involve:

• Interpreting / clarifying regulatory requests for information. 
• Identifying data sources / owners, obtaining and reviewing data in order to produce the firm’s response to enquiries. This may include trading data, copies of electronic communications and voice recordings, client documentation, etc. 
• Liaising closely with other Compliance areas and Legal, as well as other areas of the firm, to ensure the completeness of data, to seek specialist input and/or to highlight potentially suspicious activity (for example, to the Financial Crime Compliance team). 
• Working with the business, Engineering, Operations and other areas within Compliance to enhance the speed and ease of obtaining information. 
• Liaising with the FCA to co-ordinate and arrange regulatory audits and reviews. 
• Working with other Compliance areas and the business to produce responses to information requests ahead of such audits/reviews; assist in the preparation for, and attend, related onsite meetings with the FCA.
• You will operate across regulatory programme workstreams to help facilitate and deliver solutions that meet the quality criteria established by Compliance Management
• Provide analytical, documentary support to compliance project managers and other members of Compliance
• Support and participate in working groups for solutions development and implementation of regulatory change
• Produce Compliance Management reporting and materials
• Oversee compilation and reporting of the annual EMEA Compliance business plan
• Support the firm’s governance arrangements, including contributing to and managing the framework supporting the firm’s Senior Manager Arrangements
• Lead and participate in conduct initiatives for the EMEA Compliance division
• Facilitate regulatory licensing applications and fee payments to support new and expanded business activities
• Manage coordination of submission of Compliance-owned non-financial regulatory reports
   

SKILLS AND EXPERIENCE

• Experience in Compliance or a risk-based function
• Experience of delivering strategic projects / change management
• Ability to handle multiple tasks simultaneously and work under pressure
• Familiarity with UK and / or EU financial services regulatory framework
• Demonstrates excellent communication skills (both written and oral)
• Strong interpersonal skills
• A team player who can work both independently and collaboratively and is able to prioritize in a fast moving, high pressure, changing environment
• Strong analytical and problem solving skills; looks for creative solutions to issues and problems
• Sound judgment

PREFERRED QUALIFICATIONS

• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
• Familiarity with Alteryx analytics products would be an advantage