Trade compliance officer Work, Jobs in St Albans (with Salaries)

Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London
Goldman Sachs —London
- Full-time
- Analysis skills
- Bachelor's degree
- Training & development
- Employee assistance programme
Business Lead
Blockchain.com —London
- Full-time
- Hybrid work
- Analysis skills
- Communication skills
Quick apply
Exports Strategy Comms Advisor
Department for Business and Trade —London
- £39,377 - £41,494 a year
- Part-time
- Presentation skills
- Communication skills
3d
European Business Development Lead — NATO
CHAOS Industries —London
- Up to 50% travel
- Engineering
- Bachelor's degree
- Relocation assistance
Quick apply
13h
Credit Risk Management - Securitized Product Group - Structured Margin Financing
Morgan Stanley —London
- Full-time
- Microsoft Powerpoint
- English
- Analysis skills
Head of Security Architecture
AXA —London
- Computer Science
- Machine learning
- AI
6d
Vice President, International Counsel
Stanley Black & Decker —Maidenhead
- Full-time
- Continuous improvement
- Leadership
- Communication skills
8d
Equities Trade Surveillance Compliance Officer (6 Months Contract)
Nomura —London
- Temporary
Supply Chain Compliance Officer
Prinova Europe —London
- Full-time
- Hybrid work
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
Quick apply
Compliance Officer
ED&F Man Commodities —London
- English
- Master's degree
- Bachelor's degree
Caseworker
HM Revenue and Customs —Stratford
- £35,423 - £37,919 a year
- Part-time
- Hybrid work
- Presentation skills
- Travel
- Communication skills
- Work from home
7d
Canvas Compliance Officer
Point72 —London
- Financial services
- Communication skills
- Health & wellbeing programme
Compliance Advisor
Rothschild & Co —London
- Full-time
7d
Export Management Specialist
Computacenter —Hatfield
- Analysis skills
- Continuous improvement
- Travel
Senior Crew Optimisation Officer
easyJet —Luton Airport
- Full-time
- Hybrid work
- Continuous improvement
- Mentoring
- Communication skills
- Annual leave
2d
Commercial Officer (Commercial & Subcontracts)
Raytheon —Harlow
- Full-time
- Hybrid work
- No degree
- Travel
- Conflict management
- Sick pay
Senior Central Compliance Officer (12 month FTC)
Jupiter Asset Management —London
- Full-time
- Hybrid work
- Analysis skills
Resettlement Support Officer
Hillingdon Council —Uxbridge
- £35,520 - £36,585 a year
- Administrative experience
- Organisational skills
- Free parking
- Employee discount
Deputy Chief People Officer
UK Research and Innovation —London
- £94,931 a year
- Full-time
- Presentation skills
- Continuous improvement
- No degree
- Annual leave
- Employee discount
E+ Grant Officer
British Council —London
- £25,520 a year
- No degree

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Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London

Goldman Sachs -
London

Apply Now

Job details

Full-time

Benefits

Employee assistance programme

Qualifications

Analysis skills
Organisational compliance experience
Compliance management
Bachelor's degree
Training & development
Financial compliance & regulatory experience
Communication skills
Corporate regulatory compliance oversight

Full job description

SUMMARY

The Compliance role is based in London and will have a particular focus on capital markets, equity structuring and managed strategies offering (including derivatives, structured products, new issues securities, centrally managed strategies). Responsibilities will include providing product related compliance advice, project management, updating policies, monitoring, thematic compliance reviews, product/trade approvals and post trade surveillances.

OUR IMPACT:

Market Solutions Group Compliance works closely with the business to deliver to Private Wealth clients a broad array of investment solutions and to customize them to fit client’s needs.

This role will provide product related compliance advice and support to the PWM business. Specific tasks would include conducting compliance surveillance, review of marketing materials and training, product and trade approvals as well as advisory and, to a limited extent, project work.

FUNCTIONAL RESPONSIBILITIES:

Provide advice to the business on live queries and/or transactions
Conducting trading and suitability surveillance
Providing Compliance input in product design and approvals
Development and implementation of compliance-related policies and procedures
Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
Managing compliance-led projects and representing PWM Divisional Compliance on Firmwide and cross regional projects and working groups
Impact analysis and implementation of regulatory changes affecting the PWM business
Develop and deliver training for business personnel
Provide Compliance representation in Divisional Committees, such as Order Execution Review Committee
Conduct programmatic reviews such as thematic reviews for Best Execution monitoring and other ad hoc compliance forensics

SKILLS & EXPERIENCE WE’RE LOOKING FOR

BASIC QUALIFICATIONS

University degree and/or professional compliance / financial services qualification
5+ years’ compliance or other relevant financial services experience. Private wealth management / retail client experience preferred.
Strong product knowledge and trading strategies used by PWM, e.g. structured products, OTC derivatives
Detailed Knowledge of local regulatory environment
Any knowledge of other European or international regulatory regimes an advantage
Experience of conducting trade surveillance or equivalent monitoring activity
Good interpersonal skills and effective written/oral communication skills.
Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
Attention to detail
Ability to handle multiple tasks and work under pressure
Team player
As a minimum, good proficiency in Microsoft Excel, Power Point and Word

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. 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. : https://www.goldmansachs.com/careers/footer/disability-statement.html

© The Goldman Sachs Group, Inc., 2025. All rights reserved. Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.

We Offer Best-In-Class Benefits

Healthcare & Medical Insurance

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.

Holiday & Vacation Policies

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.

Opportunity Overview

CORPORATE TITLEVice President

OFFICE LOCATION(S)London

JOB FUNCTIONBusiness Unit Compliance

DIVISIONCompliance Division

Apply Now

Refine Your Search

trade compliance officer jobs in st albans

Private Wealth Management Compliance Officer - Market Solutions Group - Vice President - London

Business Lead

Exports Strategy Comms Advisor

European Business Development Lead — NATO

Credit Risk Management - Securitized Product Group - Structured Margin Financing

Head of Security Architecture

Vice President, International Counsel

Equities Trade Surveillance Compliance Officer (6 Months Contract)

Supply Chain Compliance Officer

Compliance Officer

Caseworker

Canvas Compliance Officer

Compliance Advisor

Export Management Specialist

Senior Crew Optimisation Officer

Commercial Officer (Commercial & Subcontracts)

Senior Central Compliance Officer (12 month FTC)

Resettlement Support Officer

Deputy Chief People Officer

E+ Grant Officer

I want to receive the latest job alerts for trade compliance officer in st albans

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