Goldman Sachs & Co. Compliance, Securities, Associate/Vice President, London in London, United Kingdom



Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitorsfor compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliancerisks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.


Based on the London trading floor, will work as part of the EMEA Securities Division Compliance Team. Products include Structured Credit, ABS, Funds (UCITS/Third Party Managed/ETFs), Fund Derivatives, Equity Derivatives, systematic trading strategies, and structured financing. The candidate will be required to work closely with sales, structurers, traders and also other departments, such as Legal, Controllers, Operations, Credit and Internal Audit.



  • Keeping up-to-date with relevant regulatory/rule changes including the analysis and implementation of such regulatory/rule changes.

  • Providing advice on individual transactions, new products and business initiatives, with particular focus on OTC derivatives

  • Working with technology to design surveillance tools to detect compliance risks

  • Conduct regular and one-off forensic reviews (transactions, communications)

  • Review of marketing materials & termsheets

  • Trade consultation, for example, reviewing for reputationally sensitive transactions

  • Monitoring of sales & trading activity to ensure compliance with appropriate rules, regulations & firm policies

  • Ensuring compliance with Firm policies regarding suitability

  • Creating and implementing compliance training programs for business unit professionals

  • Developing policies, procedures and best practices for the covered business units

  • Participating in regulatory and internal investigations and audit

  • Work with Technology and Strategists to identify risks of automated trading and set and implement controls


  • At least 3 years of compliance, legal, business (e.g. sales, structuring/strategist, trading), audit, controllers, operations or other relevant experience involving the securities or financial businesses

  • Good understanding of OTC derivative products, in particular the products mentioned above

  • Good interpersonal skills, a team player who is able to prioritize in a fast moving, high pressure, changing environment

  • Excellent communication skills both written and oral.

  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment

  • Ability to handle multiple tasks simultaneously and work under pressure

  • Foreign languages would be an advantage but not crucial


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 individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

©The Goldman Sachs Group, Inc., 2017. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.


Job ID2017-38371

Schedule TypeFull Time





Business UnitSecurities Division Compliance

Employment TypeEmployee