全球领先投资银行高盛聘请:Compliance Associate

<- 分享“IDEABOXES”微信公众号到您的社交圈,让更多的人知道!

收藏文章 赞一个 已赞 2016-10-15 IDEABOXES


坐标:伦敦
公司:Goldman Sachs
职位:Compliance Associate
性质:Permanent, Full-time
申请方式:阅读原文,点击链接申请。(如果链接打不开,请联系小编哟)


Our Impact

The Marketing Materials Compliance team (MMC) performs compliance oversight and review of written communications created by Securities Division personnel globally. This central team reviews trade ideas, original detailed analysis, research summaries, branded and other written materials regarding financial products (e.g. equities, fixed income, currencies, commodities, etc.). MMC works closely with other departments, such as Divisional Compliance, ECommunications Compliance, Information Technology, Internal Audit and Legal, Compliance Testing Group, and Regulatory Audits and Inquiries.


Your Impact

Review written communications created by Securities Division personnel. Approximate 70% : 30% split between:

(1)  Review of written communications
(2)  Facilitating policy revisions and technological system enhancements, creating / interpreting reports for supervisors, compliance officers and regulators, and assisting with regulatory and internal audits and inquiries


Principal Responsibilities

-   Review written materials for potential conflicts of interest, compliance with rules, regulations and firm policies and procedures, cross-border restrictions, copyright and data licensing issues and other regulatory or reputational risks to the firm

-   Undertake surveillance of compliance with various written communications policies

-   Create, update and deliver regional system training materials for the Securities Division

-   Work with Divisional Compliance and Legal to analyse rule changes and provide input on updating policies regarding written communications

-   Liaise with Technology on system changes and enhancements

-   Analyse surveillance results and data to produce management reports

-   Create, update and deliver training regarding applicable laws, regulations, policies and procedures and methods and best practices for reviewing communications

-   Identify potential targets for investigation and conduct sampling and surveillance

-   Draft and maintain disclosures and risk factors to be used in marketing materials

-   Participate in regulatory and internal investigations and audits


Job Notes

-   Fast-paced environment where teamwork and collaboration are highly valued

-   Focus is on practical implementation of laws / regulations

-   There is limited administrative support


Skills And Experience

-   Education: Bachelor’s degree (Advanced degree or experience in securities industry a plus)

-   Reading / writing language proficiency skills for reviewing, and commenting on, marketing materials prepared in English and preferably one or more of the following languages: German, French, Portuguese or Mandarin

-   Good drafting ability, but drafting will be primarily focused on providing comments on written material, and drafting short policy / guideline documents and training

-   Clarity and brevity is essential

-   Must be a proactive team player, with strong sense of urgency and ability to get along with others

-   Must be comfortable working with colleagues in different geographic regions, and different time zones

-   Must work well under pressure

-   Excellent multi-tasking abilities required

-   Ability to implement solutions is critical

-   Strong interpersonal, communication (live, phone, email) and analytical skills

-   Must be comfortable addressing problems where there is no clear cut answer and making decisions based on incomplete information

-   Should be detail oriented

-   Must be comfortable issue-spotting



免责申明:本文观点并不代表IDEABOXES LIMITED立场。更多的工作相关细节,请与雇主直接联系会更有效率哟!谢谢大家一如既往的支持!

IDEABOXESUK是一家made in London的职业咨询猎头公司。致力于帮咱华人在英国找到自己的career path。在这里,周一至周日,我们会分享英国华人的工作资讯和英国职场的各种事儿 
我们旨在创造三赢局面,相信我,您不会失望。也请不要走开,因为这个平台需要与您一起携手!我们的梦想是建立一个英国最大最正规的职业平台,让每一个在英华人都有职场归属感。
嘘!我知道我们现在力量还很微薄,也有很多不足,可是梦想还是要有的!说不定通过努力就能实现呢!您说呢?期待您的关注与指导!更多详情及信息可登录ideaboxesuk官方网站http://www.ideaboxes.co.uk获取。


点击展开全文