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CASS Coverage Compliance Officer, Vice President, London
Goldman Sachs
London, , United Kingdom
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Job Summary & Responsibilities
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 leading and further defining our Compliance Strategy in respect of Client Assets and Client Money Coverage. Previous experience in this field is essential. In addition, this role should also be able to cover Compliance guidance and support to regulatory reporting functions as part of our broader team strategy, in respect of FCA Rules and EMIR will be required
HOW YOU WILL MAKE AN IMPACT
Working with existing subject matter experts within the OTFS Compliance team, you will: primarily focus on Client Assets and Client Money Compliance coverage, in addition to broad Compliance coverage across Operations, Technology , Finance, Services and HCM. This includes:
• Taking ownership for the further development of the Compliance CASS Coverage strategy
• Providing day-to-day advisory support to Operations, Technology and other Federation functions regarding the firm's policies and regulations that apply to these functions and associated risks and controls.
• Review regulatory developments and reform to ensure the business is able to support them.
• Develop policies & procedures.
• Work alongside Operations, Technology and other Federation operations and technology teams to help identify and mitigate any compliance or conduct risk assessment inherent in those areas.
• Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses.
• Provide support to the global Compliance team on various project initiatives and new rule implementation such as MiFID II work streams as required.
• Assist in targeted reviews
SKILLS AND EXPERIENCE WE ARE LOOKING FOR
• Degree level (ideally a Law degree).
• Detailed working knowledge of CASS rules and application having worked with a relevant Regulator, Consultancy Practice and Investment Bank
• Solid Compliance and Regulatory experience, and/or experience in a Risk Management function required
• In addition, a good working understanding of the major activities and operations across revenue divisions and control functions within an Investment Bank
• Pro-active, self-motivated, assertive and well organised.
• Ability to work independently, but essential to be a strong team player.
• Forward-looking, focused on streamlining processes and increasing efficiency.
• Great attention to detail.
• Strong risk and control focus.
• Flexibility and ability to multi-task.
• Hands on, proactive approach to problem solving.
• Knowledge of the key rules and regulations governing CASS, Operations broadly and current and forthcoming MiFID II requirements
• Ability to resolve conflict and deal with confrontation.
• Interest in the operational aspects of financial markets and a willingness to learn.