Compliance, GBM Private Compliance, Capital Solutions Group, Derivatives & Structured Finance

Job Description

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; monitors for 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 compliance risks 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.

GBM Private Compliance supports the Capital Solutions Group (“CSG”) and Investment Banking (“IB”) by providing advice and guidance on regulatory, legal and compliance matters. CSG offers financing, origination, structuring, and risk management solutions and incorporates the equity and debt capital markets, structured finance, fund financing, commercial & residential real estate and derivatives businesses. Investment Banking (“IB”) includes M&A and financial advisory.

We currently have an opportunity available in the CSG Compliance Team in our London office covering the CSG Derivatives and Structured Finance businesses in EMEA.

• Providing advice and compliance oversight to CSG personnel on transactions, new business initiatives and significant business changes affecting the firm, as well as compliance, regulatory and reputational issues.
• Developing and implementing policies, procedures and best practice standards within CSG.
• Creating and implementing new controls and surveillances to mitigate risks to the firm by analysing the transactional processes used in CSG, as well as the activities and actions of individual bankers.
• Monitoring GBM Private activities to ensure adherence to applicable laws, regulations and firm policies and procedures, including developing and executing surveillance and other forensic compliance programs.
• Creating and implementing live and online compliance training programs to educate bankers on applicable compliance requirements, legal issues and regulatory changes.
• Assisting in responding to regulatory inquiries and investigations.

• Bachelor’s degree with 5+ years of relevant experience.
• A good understanding of financial instruments including derivatives.
• Compliance, legal, accounting or business (e.g. sales, structuring, trading) or other relevant experience involving the securities or financial businesses.
• A highly motivated self-starter, who learns quickly and works well under pressure.
• A critical thinker with strong analytical, problem solving and organizational skills.
• Able to effectively summarize, communicate and defend positions.
• A proactive team player, who enjoys working collaboratively across teams and disciplines.
• Possess effective interpersonal and communication skills; the candidate should be outgoing, communicative, persuasive and courteous.

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

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

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.