Compliance, Global Compliance Employee Services Employee Registration Compliance, Associate, Birmingham location_on Birmingham, West Midlands, England, United Kingdom
Opportunity Overview
CORPORATE TITLE: Associate
OFFICE LOCATION(S): Birmingham
JOB FUNCTION: Financial Crime Controls
DIVISION: Compliance Division
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.
JOB OVERVIEW
Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations, the review and approval of employees’ outside brokerage accounts, private investments and outside interests. The group also supports the preclearance process for employees’ personal trading activities and the disclosure and filing process for the firm’s and its employees’ potentially reportable litigation and regulatory disclosures.
PRINCIPAL RESPONSIBILITIES:
* Perform analysis of regulatory and legal matters to determine regulatory reporting obligations and coordinate timely reporting.
* Manage the FCA employee registration process to ensure timely registration.
* Work with other GCES teams to help with various issues and escalations in the UK, EMEA, and India.
* Conduct investigations to identify and remedy policy breaches.
* Assist in the development of firm policy to ensure compliance with various registration laws and regulations.
* Assist in the development of controls and system enhancements to improve the firm’s compliance program.
* Escalate situations, as appropriate, to legal, compliance and business teams.
* Review India employee trading activity and handle any necessary regulatory reporting obligations.
* Special projects and initiatives based upon business and regulatory needs.
EXPERIENCE AND QUALIFICATION:
* Bachelor’s Degree in Business or related field.
* Experience with the FCA or other financial regulatory registration process.
* Self-starter who isn’t afraid to take initiative and has strong attention to detail.
* Superior analytical, organizational, and excellent time and project management skills, can successfully take on multiple assignments in critical situations, and meet time-sensitive deadlines.
* Strong written and verbal communication skills required.
* Detail oriented.
* Excellent problem solving and analytical skills with the ability to interpret legal material, including FCA, MiFid and other regulations.
* Ability to work both independently and as a team player able to forge strong relationships with colleagues and clients.
* Proficient in Microsoft Office Suite and data manipulation.
ABOUT GOLDMAN SACHS
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
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.
Financial Wellness & Retirement
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.
Health Services
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.
Fitness
To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).
Child Care & Family Care
We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.
Benefits at Goldman Sachs
Read more about the full suite of class-leading benefits our firm has to offer.
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