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For Companies At a Glance
- Tasks: Provide real-time compliance advice and implement controls for the Global Currencies and Emerging Markets business.
- Company: Join Goldman Sachs, a leading global investment banking firm.
- Benefits: Competitive salary, diverse work environment, and opportunities for professional growth.
- Why this job: Make an impact in compliance while working on the trading floor of a top-tier firm.
- Qualifications: 5+ years in Markets Compliance with strong knowledge of FICC asset classes and regulations.
- Other info: Dynamic role in a diverse team with a commitment to inclusion.
The predicted salary is between 80000 - 100000 ÂŁ per year.
Goldman Sachs – FICC Compliance Team, London
Role Overview
Vice President level role based on the trading floor providing real‑time compliance advice for the Global Currencies and Emerging Markets (GCEM) business.
Responsibilities
- Designs and implements controls, policies, procedures and training.
- Conducts independent testing and investigations, surveils and monitors for compliance risks and breaches.
- Leads the firm’s responses to regulatory examinations, audits and inquiries.
- Provides real‑time compliance advice regarding relevant rules, regulations and internal policies that govern the business.
- Provides proactive risk‑mitigation instructions on regulatory and policy matters, including individual transactions, new products and business initiatives.
- Assists with the interpretation and implementation of new rules and regulations.
- Develops and delivers both ad‑hoc and annual face‑to‑face training.
- Develops and deploys second‑line controls and assists the first line with control development.
- Reviews new algorithms and other electronic‑related business initiatives.
- Reviews complex and strategic marketing materials and committee memos.
- Co‑ordinates with the broader Compliance teams, Financial Crime Compliance, and other firm departments such as Controllers, Operations, Internal Audit and Legal on initiatives and projects.
- Participates in compliance, regulatory and internal investigations and audits, including utilising firm systems to conduct forensic reviews.
- Liaises with local regulators, exchanges and venue operators and coordinates responses to ad‑hoc exchange and regulatory enquiries.
- Contributes to the Global Compliance programme of work, including assisting on exercises such as the Compliance Risk Assessment.
Qualifications and Skills
- Vice President level experience with a minimum of 5 years in Markets Compliance, ideally on a trading floor of a Tier 1 house or firm with sophisticated market‑making or hedging business units and/or complex financing capabilities.
- Degree level or equivalent education; professional qualifications such as CISI Diploma, CFA, Solicitor or Bar exams are an advantage.
- Excellent practical understanding of FICC asset classes (cash and derivatives), ideally including FX, rates, credit and emerging markets.
- Deep knowledge of UK, EU and US regulations (MIFID II, MAR, Benchmark Regulation, EMIR, CSDR, CFTC, SEC).
- Pro‑active, self‑motivated, assertive and well‑organised with the ability to work independently while remaining a strong team player.
- Ability to handle multiple tasks simultaneously and meet tight deadlines.
- Excellent written and oral communication skills; languages an advantage (particularly French and/or German).
- Proactive approach to problem‑solving, a passion for compliance and financial markets, and a willingness to continually learn.
- Capacity to thrive in an international, diverse and inclusive environment.
Goldman Sachs is committed to fostering and advancing diversity and inclusion in the workplace.
Global Banking and Markets (Public) FICC Compliance, Vice President, London in City of Westminster employer: Goldman Sachs, Inc.
Contact Detail:
Goldman Sachs, Inc. Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Global Banking and Markets (Public) FICC Compliance, Vice President, London in City of Westminster
✨Tip Number 1
Network like a pro! Get out there and connect with folks in the industry. Attend events, join online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for those interviews! Research the company and the role thoroughly. Understand their compliance culture and be ready to discuss how your experience aligns with their needs. Practise common interview questions and think of examples that showcase your skills in real-time compliance advice.
✨Tip Number 3
Show off your passion for compliance! During interviews, let your enthusiasm shine through. Talk about recent regulatory changes and how they impact the industry. This will demonstrate your proactive approach and commitment to staying updated in the field.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of resources to help you land that dream job. Plus, applying directly shows your interest in being part of our team at StudySmarter. Let’s get you started on this exciting journey!
We think you need these skills to ace Global Banking and Markets (Public) FICC Compliance, Vice President, London in City of Westminster
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role. Highlight your experience in Markets Compliance and any relevant qualifications. We want to see how your background aligns with the responsibilities listed in the job description.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can benefit the FICC team. Keep it concise but impactful, showing us your personality and motivation.
Showcase Relevant Experience: When detailing your work history, focus on experiences that relate directly to the role. Mention specific projects or tasks where you provided compliance advice or developed controls, as this will resonate with us at Goldman Sachs.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you’re considered for the role. Don’t miss out on this opportunity!
How to prepare for a job interview at Goldman Sachs, Inc.
✨Know Your Regulations
Make sure you brush up on your knowledge of UK, EU, and US regulations, especially MIFID II, MAR, and EMIR. Being able to discuss these in detail will show that you're not just familiar with compliance but that you can apply this knowledge in real-time scenarios.
✨Demonstrate Your Experience
Prepare specific examples from your past roles where you've designed controls or conducted investigations. Use the STAR method (Situation, Task, Action, Result) to structure your answers, making it easy for the interviewers to see your impact.
✨Showcase Your Communication Skills
Since this role requires excellent written and oral communication, practice articulating complex compliance concepts clearly and concisely. You might even want to prepare a brief presentation on a relevant topic to demonstrate your ability to convey information effectively.
✨Be Proactive and Problem-Solving Minded
During the interview, highlight instances where you've taken initiative to mitigate risks or improve compliance processes. This will reflect your proactive approach and passion for compliance, which are key traits for this role.