VP, Operations, Technology, Finance and Services Compliance

  • Competitive + Bonus
  • London, England, United Kingdom
  • Permanent, Full time
  • Goldman Sachs International
  • 13 Sep 16

This is a role within the OTFS Compliance team supporting the Operations, Technology, Finance, Services & HCM functions. OTFS Compliance provides support to the Federation in regulatory, reputational and policy matters. The successful candidate should be able to work in a multi- dimensional business that is heavily control focused and organise their time to deal with time sensitive issues as well as daily obligations and project workload. In addition to providing broad compliance coverage to OTFS business areas, this role will also focus on supporting regulatory reporting, such as transaction reporting required under MIFID, and trade reporting required under EMIR.

WHO WE ARE

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 high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.

 

BUSINESS UNIT AND ROLE OVERVIEW

This is a role within the European OTFS Compliance team supporting the Operations, Technology, Finance, Services & HCM functions.

OTFS Compliance provides support to the Federation in regulatory, reputational and policy matters. In turn the Federation provides support to all elements of the firm’s business, including securities trading & sales, custody & clearing, private wealth management, investment/merchant banking and asset management.

The successful candidate should be able to work in a multi- dimensional business that is heavily control focused and organise their time to deal with time sensitive issues as well as daily obligations and project workload. In addition to providing broad compliance coverage to Operations, Technology, Finance, Services & HCM functions, this role will also focus on supporting regulatory reporting functions, such as transaction reporting required under MIFID, and trade reporting required under EMIR. Previous experience in this field is beneficial.

 

RESPONSIBILITIES

Working with existing subject matter experts within the OTFS Compliance team, the successful candidate will primarily support regulatory reporting matters.

This includes:

o Providing day-to-day advisory support to Operations & Technology regarding the firm's policies and regulations that apply to these functions.

o Review regulatory developments and reform to ensure the business is able to support them.

o Develop policies & procedures.

o Work alongside operations and technology teams to identify and mitigate any compliance risk inherent in those areas.

o Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses.

o Provide support to the team on various project initiatives.

o Assist in targeted reviews

 

SKILLS / EXPERIENCE

• Degree level (ideally a Law degree).

• Experience working in Compliance or Operations, with a strong knowledge of operational practices and risk, plus trade or transaction reporting experience.

• Pro-active, self-motivated, assertive and well organised.

• Ability to work independently, but still be a strong team player.

• Forward looking, focused on streamlining processes and increasing efficiency.

• Great attention to details.

• Strong control focus.

• Flexibility and ability to multi-task.

• Hands on, proactive approach to problem solving.

• Knowledge of the key rules and regulations governing Operations is preferred.

• Ability to resolve conflict and deal with confrontation.

• Interest in the operational aspects of financial markets and a willingness to learn.

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