• Compliance, Investment Banking Division, Associate/Vice President, London

    Location(s) UK-London
    Job ID
    Schedule Type
    Full Time
    Vice President/Executive Director
    Compliance, Investment Banking
    Business Unit
    IBD Compliance
    Employment Type


    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. 



    IBD Compliance supports the Investment Banking division (which includes M&A Advisory and the Financing Group, including equity and debt capital markets, structured finance, credit finance, emerging markets financing, corporate derivatives) with business, regulatory, legal and compliance matters.  We currently have an opportunity available in the Financing Group Compliance team to cover the Debt Capital Markets business.  Products include investment grade bonds, high yield bonds, government bonds and structured credit.  In addition to working collaboratively with fellow team members and global counterparts in IBD Compliance, the candidate will regularly interact with IBD business professionals, other compliance teams and other Goldman Sachs departments, including Legal, Internal Audit, Finance, Operations, Technology and the Conflicts Resolution Group.



    • Providing advice and compliance oversight to IBD 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 for DCM within IBD.
    • Keeping up-to-date with relevant regulatory/rule changes.
    • Creating and implementing new controls and surveillances to mitigate risks to the firm by analyzing the transactional processes used in IBD, as well as the activities and actions of individual bankers.
    • Assisting other compliance teams in monitoring IBD 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.



    • Good understanding of DCM products including investment grade bonds, high yield bonds, government bonds and structured credit.
    • At least 5 years of compliance, legal, accounting or business (e.g. sales, structuring, trading) or other relevant experience involving the securities or financial businesses
    • A quick learner and self-starter, with the ability to work effectively with minimal supervision.
    • Work well under pressure and have a positive, hands-on, “can do” attitude, especially when working under tight time frames.
    • A critical thinker with strong analytical, organizational, researching and fact-gathering 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
    • Creative, with the ability to devise and implement innovative solutions.
    • European language skills and advantage
    • Experience of interactions with regulators
    • Bachelor’s degree


    The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

    © The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.