Compliance, Global Compliance Employee Services Employee Registration Compliance, Vice Presiden[...]

Compliance, Global Compliance Employee Services Employee Registration Compliance, Vice President, Birmingham

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.

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:

1. Perform analysis of regulatory and legal matters to determine regulatory reporting obligations and coordinate timely reporting
2. Manage team in Birmingham and in India
3. Manage the FCA employee registration process to ensure timely registration
4. Work with other GCES teams to help with various issues and escalations in the UK, EMEA, and India
5. Conduct investigations to identify and remedy policy breaches
6. Assist in the development of firm policy to ensure compliance with various registration laws and regulations
7. Assist in the development of controls and system enhancements to improve the firm's compliance program
8. Escalate situations, as appropriate, to legal, compliance and business teams
9. Review India employee trading activity and handle any necessary regulatory reporting obligations
10. Special projects and initiatives based upon business and regulatory needs

EXPERIENCE AND QUALIFICATION:

1. Bachelor's Degree in Business or related field
2. Legal experience preferred but not essential
3. Experience with the FCA or other financial regulatory registration process
4. Self-starter and strong attention to detail
5. Strong analytical, organisational, and excellent time and project management skills, can successfully take on multiple assignments in critical situations, and meet time-sensitive deadlines
6. Strong written and verbal communication skills required
7. Detail oriented
8. Excellent problem solving and analytical skills with the ability to interpret legal material, including FCA, MiFid and other regulations
9. Ability to work both independently and as a team player able to forge strong relationships with colleagues and clients
10. 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

The Goldman Sachs Group, Inc., 2025. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity