Compliance, Global Banking & Markets Private Compliance, M&A Advisory, Vice President, London presso Asset & Wealth Management
Asset & Wealth Management · London, Regno Unito · Onsite
- Professional
- Ufficio in London
Global Banking & Markets Private Compliance supports the Investment Banking business by providing advice and guidance on regulatory, legal and compliance matters. Investment Banking (“IB”) includes M&A, financial advisory and financing transactions, including equity and debt capital markets, structured finance, credit finance and corporate derivatives. We currently have an opportunity available for a Vice President in London, to cover the IB M&A Advisory business in EMEA.
RESPONSIBILITIES
- Providing advice and compliance oversight to IB 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 IB
- Keeping up to date with relevant regulatory/rule changes
- Creating and implementing new controls and surveillances to mitigate risks to the firm by analysing the transactional processes used in IB, as well as the activities and actions of individual bankers
- Assisting other compliance teams in monitoring IB activities to help 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
SKILLS / EXPERIENCE
- Bachelor’s degree with 5+ years of relevant experience, including in compliance, legal, accounting or business (e.g. other finance, regulatory or legal roles) or similar relevant experience in the financial sector
- Understanding of MiFID II and MAR, including practical experience of their applicability to investment banking transactions and practices
- Demonstrated interest in financial markets and investment banking
- 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
ABOUT GOLDMAN SACHS
