4 jobs found

Compliance, Global Privacy Office, Executive Director, London/Birmingham location_on London, Greater London, England, United Kingdom OUR IMPACT 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. YOUR IMPACT This is an exciting opportunity to be a member of Goldman Sachs' Global Privacy Office (GPO), supporting the Europe, Middle East and Africa (EMEA) regions. The successful candidate will work from Goldman Sachs' London or Birmingham office on multiple regional and global programs managed by the Global Privacy Office, to deliver on our privacy strategy and respond to critical regulatory deadlines, as well as to mature our existing privacy compliance program.This position will support matters globally, but with a particular focus on matters in the EMEA region. The candidate will also play a key role in collaborating with colleagues across the firm to further build out the firm's privacy program to address the evolving regulatory landscape, enhance divisional collaboration and increase cross-functional engagement. Responsibilities We are seeking a Privacy Advisory vice president with excellent analytical, communication and co-ordination skills to join the Global Privacy Office. This role will require you to develop a detailed knowledge of multiple areas within the firm and will include: Identifying and independently executing of opportunities to efficiently scale the firm's global privacy program Providing privacy advisory guidance to business, engineers, operations, compliance and other stakeholders to enable the delivery and development of privacy compliant business initiatives Supporting privacy risk assessment processes and other operational aspects of the firm's privacy compliance program Reviewing and assessing products, features and business activities against privacy requirements and standards Managing and supporting cross-functional projects to implement privacy laws Monitoring and reporting to senior management on the status of the privacy program Partnering with Legal, Compliance, Engineering, Risk and Business teams to research and assess the impact of new privacy and data protection laws or regulations, and manage the work to deliver required changes Partnering with Engineering teams to identify and design new tools, or improve existing tools, that support the firm's privacy compliance program Supporting the development and implementation of privacy program governance frameworks with key stakeholders in Operations, Compliance, Technology, Legal and Risk Driving accountability for privacy program components operated by the first line of defense Creating, reviewing, and revising privacy program policies and procedures Contributing to other activities within the Global Privacy Office where necessary Basic Qualifications Bachelor's degree or international equivalent; legal degree is helpful CIPP certification At least 7 years of work experience, with at least 5 of those working in the Privacy or Data Protection domain Experience with reviewing, advising and/or implementing programs to address privacy laws on a local and global level (e.g., GDPR, UK GDPR, ePrivacy Directive, EU AI Act, etc ) Financial services experience is a plus Required Skills Highly motivated with the ability to work autonomously as well as in a team and collaboration-oriented environment Highly organized, attention to detail and excellent follow through skills Strong analytical and problem-solving skills; risk-based prioritization Excellent verbal and written communication skills to effectively articulate complex regulatory requirements to stakeholders and dependent teams at all levels of the firm Able to coordinate activities with multiple interdependencies and to elevate items that are unresolved or at risk Comfortable working with incomplete information, to ask focused questions and rapidly gain an in-depth understanding of the current processes and compare and relate to similar situations Detailed problem tracking, resolutions and completion of all actions and issues by their deadlines 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 workspace 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 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. 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. 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 for a highly motivated individual to join J.P. Morgan's EMEA Technology M&A team, based in London. The EMEA Tech M&A team is focused on originating and executing transactions involving publicly listed, sponsor-owned and other privately held entities within the Technology sector across all regions in EMEA. Advisory mandates cover acquisitions, all stock mergers, carve outs, majority and minority stake sales, shareholder activism and hostile defence. As a Vice President (VP) on the EMEA Tech M&A team, you will play a critical role in executing these assignments, partnering closely with Technology coverage, Country coverage and product teams within the Investment Bank. Job responsibilities Drive execution of transactions from launch to signing, comprising financial analysis, due diligence review and preparation of transaction materials, working closely both with internal teams and external stakeholders Oversee deal teams in performing detailed valuation (including DCF, LBO, trading and transaction comparables) and merger consequences analyses Act as primary day to day point of contact with clients, counterparties other third party advisors throughout transaction process Drive preparation of materials for client presentations, in partnership with Industry and Country coverage teams Mentor, supervise and train junior team members Perform a variety of tasks, including opportunities to take on significant responsibility due to the team's high deal flow and flat hierarchical structure Maintain up to date knowledge of industry trends, transaction developments and regulatory changes affecting the Technology sector Required qualifications, capabilities and skills Prior investment banking experience at VP level within M&A Outstanding financial analysis and modelling skills, and overall corporate finance proficiency Detail oriented, proactive with strong project management skills Excellent written and verbal communication skills Ability to teach and mentor junior team members Ability to work well under pressure and tight deadlines Preferred qualifications, capabilities and skills Prior Tech IB experience is desired but not mandatory Proficiency in a European language (in addition to English) is desired but not mandatory This role encompasses the performance of regulated activity. The successful candidate will therefore be subject to meeting regulatory requirements in the assessment of fitness, propriety, knowledge, and competence (as assessed by the Firm) and (where appropriate) approval by the relevant regulatory authorities to carry out such activities.

Drive KYC onboarding and renewals, lead a Middle Office team, and partner with Front Office to deliver seamless client due diligence. As a KYC Markets Middle Office Manager in the Wholesale KYC Operations (WKO) Client Office Team, you will act as a single point of contact and subject matter expert (SME) for onboarding new customers, incremental business requests and renewals of our existing customer KYC records. You will be aligned to a designated Front Office team (e.g. Sales, RMP, Deal Team or Transition Management) and facilitate across all teams on KYC execution. You will oversee a team of Middle Office individuals that act as a single point of contact and that execute as subject matter experts for Markets Renewals . Job responsibilities Manage the teams' Renewals schedule for Front Office to prioritise active requests, provide status updates and responsibility for business forward planning Manage the KYC Renewals book of work for your designated Front Office sub-LOB to prioritise active requests, provide status updates of key onboardings managing the end to end process Be aware of Business forward planning Build and develop strong partnerships, identify challenges and eliminate roadblocks with all internal partners Work with the Front Office teams, directing clients as required, to obtain all necessary supporting evidence to fulfil KYC due diligence Ensure all information to and from our Clients is accurate, complete and compliant with AML, Local and Corporate Due Diligence requirements Coordinate case prioritization, capacity planning, and assignment with our Global Maker teams Stay up to date of any changes to processes and procedures, regulatory change and ensure impacts are communicated to our business partners Manage personal workload and priorities ensuring timely escalation of key risks/issues to management Identify and execute process improvements, provide guidance and support on key process and technology initiatives to the business Required qualifications, capabilities, and skills Strong written and oral communication skills with experience of conflict resolution Resilient interpersonal skills, ability to partner with internal stakeholders, influencing and negotiating effectively with business partners and senior managers Client focused while maintaining a strong controls mind-set Proactive and flexible approach to personal workload and wider team targets Effective at managing time appropriately and organising workload for maximum productivity Working knowledge of KYC/Compliance/AML standards Sound understanding of the Financial Industry Knowledge of multiple client types (i.e. Corporates, Non-Banking Financial Institutions, Banks, Foreign Correspondent Banks, Non-Operating/Asset Holding Companies, Governments, Organizations, Publicly Traded Companies, Small and Large Privately Held Operating Companies)

Overview Job title: Global Markets & Instinet Business Auditor Corporate Title: Vice President Department: Internal Audit Location: London Company overview Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wholesale (Global Markets and Investment Banking), Wealth Management, and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit . Instinet, a trading arm of Nomura also operates as a broker that executes trades for asset management firms, hedge funds, insurance companies, mutual funds and pension funds. Instinet provides sales trading services, trading technologies, trade cost analytics, commission management, independent research and dark pools of liquidity. For further information about Instinet, visit . Department overview The Global Internal Audit department is a key part of Nomura's corporate governance, and its primary objective is to review the company's control environment and report any weaknesses identified to the Audit Committees and senior management. The EMEA Internal Audit department comprises 53 professionals, who have responsibilities across Global Markets, Instinet, Investment Banking and Investment Management business lines, as well as Corporate functions including middle and back office support, Risk Management, Compliance and Information Technology. Audit coverage is managed functionally by Global Portfolio Directors, with regional and legal entity oversight by regional heads. The Head of EMEA Internal audit is also Nomura Wholesale Division Global Head of Internal Audit, based in London. The Head of Americas Internal Audit is responsible for Instinet. Role description The Internal Audit department has adopted a fully integrated audit approach and business auditors are expected to work closely with IT auditors on complex and often global audits. This role is suited to a highly motivated candidate who has experience auditing business processes relating to Global Markets and an Equities brokerage environment, who is driven to make an impact in a global organisation and grow their career to the next level. In addition to controls over business processes, an understanding of technology controls would also be an advantage. Main duties Manage and support internal audits of Global Markets and Instinet businesses, in addition to other areas such as Investment Banking and / or Crypto Assets. Actively take part in all stages of the audit from audit planning and fieldwork through to document and agreeing issues and the audit report with key auditees, raising value added control improvements to senior management. Manage and perform risk assessments across Global Markets, Instinet and other businesses using the departmental risk assessment methodology. Manage interaction with key Global Markets and Instinet stakeholders. Assist with the continuous monitoring programme including regular meetings with key auditees and evaluating any changes in the risk profile of which might result in a change in the audit plan, risk assessments or audit universe. Execute audits in accordance with departmental standards and conduct effective risk assessments on processes/functions during the audit. Ensure consistent delivery of assignments on time and to quality of methodology standards. Support IA's strategic initiative for Data Analytics by being an active supporter and contributor to this initiative. Utilise data analysis to improve and enhance the audit approach. Direct and carry out pre-implementation reviews, special projects, ad hoc investigations and advisory work where required. Follow-up of issues that are raised in audit reports. Continually seek to improve audit and departmental processes. Skills, experience, qualifications and knowledge required Strong background and experience of auditing Global Markets and Equity Brokerage (equities), and supporting operational processes, in a brokerage or financial institution that is subject to global regulatory standards. Strong leadership skills: Has a proven track record of demonstrating maturity and leadership, acts as a role model and holds self and others to high standards of excellence. Able to motivate, coach and develop staff to achieve departmental and personal objectives. Relationship Management: Has proven ability to build strong relationships with auditees and can effectively manage upwards at senior levels. Demonstrates clear understanding of the business needs and exceeds expectations. Able to network and manage relationships at senior levels across the organisation and in the wider financial services industry. Strong background and experience of managing and executing Front-to-Back audits within a Global Markets or brokerage environment. Experience of successfully performing complex audit projects, as well as performing multiple audits concurrently. Strong analytical skills with the ability to identify key risks and control weaknesses, and sound judgement on the criticality and impact of issues identified, with a risk and commercial focus. Confident manner and strong communication skills, both oral and written. Strong time and project management skills, consistently delivering to deadlines (budget and time). A proven ability to work effectively on multiple tasks, exercise good judgement in prioritizing one's own workload to meet deadlines. A bachelor's degree or higher education qualification supported by work experience as a Business auditor in a financial services firm, Consulting firm or Big 4 firm. Chartered Accountancy (ACA/ACCA/CISA) or equivalent qualification preferred. Sound knowledge of general auditing principles and best practices and standards, and experience of using agile audit techniques. Experience of using data analytics to gain audit assurance would be beneficial. Nomura competencies Identify the underlying causes of problems faced by you or your team and define a clear vision and direction for the future. Making Strategic Decisions Evaluate all the options for resolving the problems and effectively prioritize actions or recommendations. Inspire Entrepreneurship in People Inspire team members through effective communication of ideas and motivate them to actively enhance productivity. Elevate Organizational Capability Engage proactively in professional development and enhance team productivity through the promotion of knowledge sharing. Inclusion Respect DEI, foster a culture of psychological safety in the workplace and cultivate a "Risk Culture" (Challenge, Escalate and Respect). Right to Work The UK Government have taken steps to reduce net migration to the UK by limiting the number of overseas workers coming to the UK for employment. Please note that whilst we are able to consider applications from overseas workers from outside the UK (who require a Tier 2 Skilled Worker visa) we can only employ them if we can provide evidence that this is a genuine vacancy for a qualified role. Diversity & Inclusion Nomura is an equal opportunity employer. We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees. We welcome all applications and do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation. If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us. Nomura is an Equal Opportunity Employer