FICC Compliance Analyst, London

  • Competative
  • London, England, United Kingdom
  • Permanent, Full time
  • Goldman Sachs International
  • 15 Sep 16

Based on the London trading floor, the successful candidate will work as part of the EMEA Securities Division Compliance Team. Products include bank loans, corporate bonds, CDS, structured credit, ABS, funds, fund derivatives, equity derivatives and structured financing. The candidate will be required to work closely with sales, structurers, traders and also other departments, such as Legal, Controllers, Operations, Credit and Internal Audit.

WHO WE ARE

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major cities around the world.

 

BUSINESS UNIT AND ROLE OVERVIEW

Based on the London trading floor, will work as part of the EMEA Securities Division Compliance Team. Products include bank loans, corporate bonds, CDS, structured credit, ABS, funds, fund derivatives, equity derivatives and structured financing. The candidate will be required to work closely with sales, structurers, traders and also other departments, such as Legal, Controllers, Operations, Credit and Internal Audit.

 

RESPONSIBILITIES

  • Providing advice on individual transactions, new products and business initiatives
  • Review of marketing materials & termsheets
  • Trade consultation
  • Monitoring of sales & trading activity to ensure compliance with appropriate rules, regulations & firm policies
  • Conducting due diligence to ensure compliance with Firm policies regarding capacity, authority and suitability
  • Creating and implementing compliance training programs for business unit professionals
  • Developing policies, procedures and best practices for each business unit
  • Keeping up-to-date with relevant regulatory/rule changes including the analysis, support and implementation of such regulatory/ rule changes, including MiFID II, MAR, and EMIR 
  • Participating in regulatory and internal investigations and audit
  • Work with Technology and Strategists to set and implement controls to automated trading

 

SKILLS / EXPERIENCE

  • At least 1-2 years of compliance, legal, business (e.g. sales, structuring, trading), audit, controllers, operations or other relevant experience involving the securities or financial businesses
  • Good product understanding across Securities
  • Good interpersonal skills, a team player who is able to prioritize in a fast moving, high pressure, changing environment
  • Excellent communication skills both written and oral
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Foreign languages would be an advantage

Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2016. All rights reserved.