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Compliance Division, Investment Banking Compliance, 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 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.
BUSINESS UNIT AND ROLE OVERVIEW
IBD Compliance supports the Investment Banking division (which includes M&A Advisory and the Financing Group, including equity and debt capital markets, structured finance, credit finance, emerging markets financing, corporate derivatives). Opportunities are currently available for individuals to work in both the M&A and Financing Group teams.
RESPONSIBILITIES
The successful candidates would be expected to get involved wherever needed in the wide variety of work in the department, which includes (amongst other things):
• Dealing with a wide variety of ad hoc requests and initiatives
• Research, development and updating of global and local policies and procedures
• Involvement in a variety of short and long-term projects
• Surveillance monitoring and testing
• Assisting with information responses to regulatory enquiries
• Training development and organisation, including division-wide annual training and targeted departmental training
• Gifts and entertainment issues and policy development
• Deal team separation procedures
• The role includes substantial interaction with bankers at all levels, the IBD business unit managers, IBD and Firmwide technology, control room, central conflicts, Legal and other federation areas.
Basic Qualifications
• Substantial initiative, creativity and drive
• Strong analytical skills, particularly judgment and problem-solving
• Strong control mindset – ability to design robust procedures
• Strong organizational and multi-tasking skills
• Interpersonal skills required for extensive banker contact - outgoing, communicative, assertive, persuasive, courteous
• Ability to act with tact and discretion
• Ability to assimilate complex verbal data very quickly
• Ability to write concisely and persuasively
• Ability to deal with a wide variety of people across all levels of seniority within banking and elsewhere
• Ability rapidly to establish credibility and build relationships with others
• Ability to understand technology processes quickly
• Highly motivated, self-starter, with a willingness to get involved
Role – specific skills
• At least 5 years of compliance, legal, accounting or business (eg sales, structuring, trading) or other relevant experience involving the securities or financial businesses
• Experience of Financing and/or M&A products preferred
• European language skills and advantage
• Experience of interactions with regulators
YOUR CAREER
Goldman Sachs is a meritocracy where you will be given all the tools to help you develop. At Goldman Sachs, you will have access to excellent training programmes designed to improve multiple facets of your skills portfolio. Our in-house training programme, ‘Goldman Sachs University’ offers a comprehensive series of courses that you will have access to as your career progresses.
Goldman Sachs University has an impressive catalogue of courses which span technical, business and leadership skills training.
We value internal mobility. The chance to take on new challenges in the firm over time will ensure that you remain stimulated and will help in your continued professional and personal development.