Compliance - EMEA Wealth Management Compliance - Associate - London Compliance - EMEA Wealth Management Compliance -  …

Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 24 Sep 21
Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 24 Sep 21
Compliance - EMEA Wealth Management Compliance - Associate - London

The Compliance role is based in London and will have a particular focus on capital markets, equity structuring and managed strategies offering (including derivatives, structured products, new issues securities, centrally managed strategies). Responsibilities will include providing product related compliance advice, project management, updating policies, monitoring, thematic compliance reviews, product/trade approvals and post trade surveillances.

Principal Responsibilities
  • Maintain/draft/update policies, procedures, desk manuals, supervisory manuals
  • Assist with Compliance related projects, and managing implementation
  • Conduct Forensic reviews program
  • Coordinate Supervisory Reporting to Desk Heads
  • Coordinate Desk Reviews
  • Conduct trading and suitability surveillance

Additional Responsibilities
  • Providing Compliance input in product design and approvals
  • Provide Compliance representation in Divisional Committees, such as Order Execution Review Committee
  • Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
  • Reviewing and approving client account and trade activity from a suitability perspective
  • Providing support for / responding to general compliance-related queries
  • Impact analysis and implementation of regulatory changes affecting the Wealth Management business
  • Develop and deliver training for business personnel

  • University degree and/or professional compliance / financial services qualification
  • 3+ year compliance or other relevant financial services experience
  • Wealth management / product Compliance experience an advantage
  • Knowledge of EMEA regulatory environment
  • Any knowledge of international regulatory regimes an advantage
  • Product knowledge and trading strategies e.g. structured products, alternative investments, derivatives
  • Good interpersonal skills and effective written/oral communication skills
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
  • Attention to detail
  • Ability to handle multiple tasks and work under pressure


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., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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