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Nu Advisory Partners

Compliance, Equities Compliance, Derivatives and Structured Products, Associate, London

Goldman Sachs

Goldman Sachs

London, UK
Posted on Thursday, June 6, 2024

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.


We are recruiting for an Analyst/Associate level position to join the Derivatives and Structured Products team within Equities Compliance, providing first line compliance support and advice to Sales, Trading, Structuring and Strats within the Equity Derivatives, Systematic Trading Strategies and Structured Products businesses. The candidate should be able to work in a multi-dimensional business environment that is heavily client focused and organise their time to deal with real-time issues as well as delivering on a diverse project workload.


  • Provide real-time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses
  • Compliance representative for business-led projects/initiatives
  • Developing and updating policies & procedures to applicable businesses
  • Develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required
  • Partner with Federation Compliance and other support functions in resolving queries
  • Co-ordinate with the broader Global Compliance Team on EMEA initiatives and projects as a representative for Equities Compliance
  • Assist with the annual Compliance Risk Assessment
  • Partner with Surveillance and Financial Crime Compliance in resolving surveillance alerts identified systematically or via desk escalation
  • Assessing the impact of new financial regulations, setting internal Compliance policies and providing appropriate guidance
  • Coordinate and review responses to exchanges/regulators
  • Review and provide Compliance sign off for electronic trading activities relating to our various businesses
  • Review and provide Compliance sign-off for new index approval requests, systematic trading strategies and their associated marketing materials


  • Analyst/Associate level
  • Degree level or equivalent (not essential if relevant working experience)
  • Good understanding of capital markets, with benchmarks / derivatives / structured products knowledge an advantage, but not required
  • Experience of performing a Compliance advisory role in a global investment bank and understanding of applicable regulations and rules (MiFID, MAR/MAD, COBS, exchange rules) an advantage, but not required
  • Pro-active, self-motivated, enthusiastic, well organised and keen to learn
  • Ability to work independently, be a strong team player and manage relationships/stakeholders at all levels
  • Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure


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 GS.com/careers.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

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Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity