Compliance - IBD Compliance - Financing Group - Capital Markets - London - Analyst/Associate Compliance - IBD Compliance - Financing Group -  …

Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 02 Aug 21
Goldman Sachs
in London, United Kingdom
Permanent, Full time
Last application, 02 Aug 21
Compliance - IBD Compliance - Financing Group - Capital Markets - London - Analyst/Associate

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 financial centres around the world.


IBD Compliance supports the Investment Banking Division ("IBD") (which includes M&A Advisory and the Financing Group, including equity and debt capital markets, structured finance, credit finance, emerging markets financing, corporate derivatives) with business, regulatory, legal and compliance matters. We currently have an opportunity available in the IBD Financing Group Compliance Team in our London office covering the IBD Equity Capital Markets & Debt Capital Markets businesses in EMEA. In addition to working collaboratively with fellow team members and global counterparts in IBD Compliance, the candidate will regularly interact with IBD business professionals, other compliance teams and other Goldman Sachs departments, including Legal, Internal Audit, Finance, Operations, Technology and the Conflicts Resolution Group.

  • Providing advice and compliance oversight to IBD personnel on transactions, new business initiatives and significant business changes affecting the firm, as well as compliance, regulatory and reputational issues.
  • Developing and implementing policies, procedures and best practice standards within IBD.
  • Keeping up-to-date with relevant regulatory/rule changes.
  • Creating and implementing new controls and surveillances to mitigate risks to the firm by analyzing the transactional processes used in IBD, as well as the activities and actions of individual bankers.
  • Assisting other compliance teams in monitoring IBD activities to help ensure adherence to applicable laws, regulations and firm policies and procedures, including developing and executing surveillance and other forensic compliance programs.
  • Creating and implementing live and online compliance training programs to educate bankers on applicable compliance requirements, legal issues and regulatory changes.
  • Assisting in responding to regulatory inquiries and investigations.
  • Good understanding of the Investment Banking business
  • Compliance, legal, accounting or business (e.g. sales, structuring, trading) or other relevant experience involving the securities or financial businesses
  • A highly motivated self-starter, who learns quickly.
  • Works well under pressure and have a positive, hands-on, "can do" attitude, especially when working under tight time frames.
  • A critical thinker with strong analytical, organizational, researching and fact-gathering skills.
  • Able to effectively summarize, communicate and defend positions.
  • A proactive team player, who enjoys working collaboratively across teams and disciplines.
  • Possess effective interpersonal and communication skills; the candidate should be outgoing, communicative, persuasive and courteous
  • Creative, with the ability to devise and implement innovative solutions.
  • European language skills an advantage
  • Technological aptitude
  • Bachelor's degree


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., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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