Compliance, Regulatory Practice Group, Analyst/Associate Compliance, Regulatory Practice Group,  …

Goldman Sachs
in London, England, United Kingdom
Permanent, Full time
Last application, 10 Aug 20
Goldman Sachs
in London, England, United Kingdom
Permanent, Full time
Last application, 10 Aug 20
Compliance, Regulatory Practice Group, Analyst/Associate
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.

The Regulatory Practice Group has day to day oversight of the firm's relationships with its regulators and is the first port of call for all regulatory interaction; the team in London handles enquiries from regulators across EMEA but primarily from the FCA. In addition to coordinating the programme of regulatory supervisory engagement, its responsibilities also include the management of regulatory audits by the FCA (which typically involve onsite meetings). As a member of the London team, your day to day role will involve:
  • Interpreting / clarifying regulatory requests for information.
  • Identifying data sources / owners, obtaining and reviewing data in order to produce the firm's response to enquiries. This may include trading data, copies of electronic communications and voice recordings, client documentation, etc.
  • Liaising closely with other Compliance areas and Legal, as well as other areas of the firm, to ensure the completeness of data, to seek specialist input and/or to highlight potentially suspicious activity (for example, to the Financial Crime Compliance team).
  • Working with the business, Engineering, Operations and other areas within Compliance to enhance the speed and ease of obtaining information.
  • Liaising with the FCA to co-ordinate and arrange regulatory audits and reviews.
  • Working with other Compliance areas and the business to produce responses to information requests ahead of such audits/reviews; assist in the preparation for, and attend, relate! d onsite meetings with the FCA.
Basic Qualifications
  • A recent Graduate with relevant experience gained in a financial services environment
  • Highly organized and inquisitive, with attention to detail and tenacity
  • Must understand the importance of and be able to work to tight deadlines
  • Keen to learn new information, adopt new skills and be able to identify and make improvements to systems and processes
  • Calm, with good oral, interpersonal and written communications skills and confident manner​


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 .

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