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- Tasks: Join the MSC team to assess market abuse risks and enhance surveillance controls.
- Company: Goldman Sachs is a leading global investment banking and securities firm, founded in 1869.
- Benefits: Enjoy diverse training opportunities, wellness programs, and a commitment to inclusion.
- Why this job: Make an impact by tackling market manipulation and insider trading in a dynamic environment.
- Qualifications: Bachelor’s degree and around 5 years of financial services experience required.
- Other info: This role offers a chance to work with global teams and develop your analytical skills.
The predicted salary is between 42000 - 84000 £ per year.
Compliance, Markets Surveillance – Market Abuse Risk Assessment & Governance, Associate, London
Join to apply for the Compliance, Markets Surveillance – Market Abuse Risk Assessment & Governance, Associate, London role at Goldman Sachs
Compliance, Markets Surveillance – Market Abuse Risk Assessment & Governance, Associate, London
Join to apply for the Compliance, Markets Surveillance – Market Abuse Risk Assessment & Governance, Associate, London role at Goldman Sachs
Job Description
Markets Surveillance Compliance (MSC)has primary responsibility for the development and execution of the firm’s trade surveillance program, focused on market manipulation, insider trading and regional/policy related risks.
Job Description
Markets Surveillance Compliance (MSC)has primary responsibility for the development and execution of the firm’s trade surveillance program, focused on market manipulation, insider trading and regional/policy related risks.
OUR IMPACT
The MSC team consists of three key pillars: (i) Risk Assessment, (ii) Design & Development and (iii) Investigate & Escalate to develop and enhance detective controls for market abuse risks. MSC performs surveillance alert reviews and maintains oversight of such controls to ensure the continuing effectiveness of those controls. Team members are responsible for reviewing a set of surveillance reports and interacting with Line Compliance and the business to determine whether an exception can be closed or requires further escalation. Team members also work with colleagues to provide data and respond to requests from the various regulatory bodies that oversee our business lines.
To ensure appropriate control effectiveness and development, the Market Abuse Risk Assessment (MARA) team performs annual risk assessments and real-time change management reviews to assess the likelihood of risk impact and surveillance effectiveness enhancements to the MSC program. This open role is specific to the MARA team within MSC.
Additionally, MSC works closely with Line Compliance, Financial Crime Compliance, Regulatory Compliance and Compliance Engineering as well as other groups within the Firm across all regions (including Americas, EMEA and APAC), as such, the team aims to bring a global perspective and globally coordinated approach to mitigate local regulatory risks.
YOUR IMPACT
- Lead divisional coordination of the Market Abuse Risk Assessment (MARA) including working closely with various internal teams (including but not limited to MSC surveillance teams, Line Compliance and Engineering), to ensure relevant risk factors are continuously updated and monitored in the MARA. This will require detailed technical knowledge of the different market abuse behaviors/indicators that the firm is exposed to and the most appropriate/effective way to monitor them.
- Perform risk assessment analysis, including but not limited to, documentation of Inherent Risk, Control Suite and Residual Risk rationales through internal systems
- Lead monthly calls with Line Compliance and MSC stakeholders to review MARA change management analysis
- Where applicable, help to prioritize risks and products where there is a need to improve control ratings. This may include performing an analysis of the risk and proposing logic/detection criteria that is reasonably designed to detect it.
- Work with other stakeholders (including Line Compliance and the business) on defining new/improved scenarios and/or efficiency opportunities to further enhance automated surveillance coverage as appropriate.
- Be familiar with business flows across Equities and FICC and challenge existing assumptions relating to risks and controls, as appropriate.
- Prepare detailed reports and presentations to communicate risk findings and recommendations to stakeholders, including senior management and other departments
- Perform management reporting on a weekly, monthly and quarterly basis
- Strive to create a consistent approach across businesses, products and regions, as appropriate.
Basic Qualifications
- Bachelor’s Degree
- Approximately 5 years of experience in financial services with a strong understanding of financial products
Preferred Qualifications
- Interest in compliance laws, rules, regulations, risks and typologies
- Motivated by learning and continuous improvement
- Ability to learn quickly, work independently, form own judgment/opinions, provide insights and drive change
- Proactive with strong analytical, interpersonal and communication skills (written and verbal) and ability to work effectively with colleagues in other regional offices
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Strong academic background, preferably in quantitative fields such as mathematics, computer science, engineering or statistics
About Goldman Sachs
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 GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
Seniority level
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Seniority level
Associate
Employment type
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Employment type
Full-time
Job function
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Job function
Finance and Sales
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Compliance, Markets Surveillance - Market Abuse Risk Assessment & Governance, Associate, London employer: Goldman Sachs
Contact Detail:
Goldman Sachs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance, Markets Surveillance - Market Abuse Risk Assessment & Governance, Associate, London
✨Tip Number 1
Familiarise yourself with the latest compliance laws and regulations related to market abuse. This knowledge will not only help you in interviews but also demonstrate your genuine interest in the role and the industry.
✨Tip Number 2
Network with professionals already working in compliance or market surveillance roles. Attend industry events or webinars to connect with potential colleagues and gain insights into the day-to-day responsibilities of the position.
✨Tip Number 3
Brush up on your analytical skills, as they are crucial for performing risk assessments. Consider taking online courses or workshops that focus on data analysis and risk management to enhance your expertise.
✨Tip Number 4
Prepare to discuss specific examples of how you've handled compliance-related challenges in the past. Being able to articulate your problem-solving skills and proactive approach will set you apart during the interview process.
We think you need these skills to ace Compliance, Markets Surveillance - Market Abuse Risk Assessment & Governance, Associate, London
Some tips for your application 🫡
Understand the Role: Before applying, make sure you thoroughly understand the responsibilities and requirements of the Compliance, Markets Surveillance - Market Abuse Risk Assessment & Governance Associate role. Tailor your application to highlight relevant experiences that align with these responsibilities.
Highlight Relevant Experience: In your CV and cover letter, emphasise your experience in financial services, particularly any roles related to compliance, risk assessment, or market surveillance. Use specific examples to demonstrate your understanding of financial products and compliance laws.
Showcase Analytical Skills: Given the analytical nature of this role, be sure to showcase your strong analytical skills in your application. Provide examples of how you've used data analysis to drive decisions or improve processes in previous positions.
Craft a Compelling Cover Letter: Your cover letter should not only express your interest in the position but also explain why you are a good fit for Goldman Sachs. Discuss your motivation for working in compliance and how your background prepares you for the challenges of the role.
How to prepare for a job interview at Goldman Sachs
✨Understand Market Abuse Risks
Familiarise yourself with the different market abuse behaviours and indicators that Goldman Sachs is exposed to. Being able to discuss these in detail will show your technical knowledge and understanding of the role.
✨Prepare for Risk Assessment Discussions
Be ready to talk about your experience with risk assessment analysis. Think of examples where you've documented inherent risks or proposed detection criteria, as this will demonstrate your analytical skills and proactive approach.
✨Showcase Your Communication Skills
Since the role involves preparing reports and presentations for stakeholders, practice articulating complex information clearly and concisely. Highlight any past experiences where you successfully communicated findings to senior management.
✨Demonstrate Project Management Abilities
The ability to handle multiple projects simultaneously is crucial. Prepare examples from your previous roles where you managed competing priorities effectively, showcasing your organisational skills and attention to detail.
