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Job Description Internal Audit, we ensure that Goldman Sachs maintains effective controls by assessing the reliability of financial reports, monitoring the firm's compliance with laws and regulations, and advising management on developing smart control solutions. *Description for Internal Candidates INTERNAL AUDIT In Internal Audit, we ensure that Goldman Sachs maintains effective controls by assessing the reliability of financial reports, monitoring the firm's compliance with laws and regulations, and advising management on developing smart control solutions. Our group has unique insight on the financial industry and its products and operations. We're looking for detail-oriented team players who have an interest in financial markets and want to gain insight into the firm's operations and control processes. TEAM OVERVIEW Goldman Sachs Internal Auditors demonstrate strong risk and control mindsets, analytical, exercise professional scepticism, and are able to challenge and discuss effectively with management on risks and control measures. We look for individuals who enjoy learning about audit, businesses and functions, have innovative and creative mindsets to adopt analytical techniques to enhance audit techniques, building relationships and are able to evolve and thrive in teamwork and in a fast-paced global environment. Expertise in financial crime controls, in particular those related to transaction banking and consumer AML compliance. Goldman Sachs Internal Audit comprises individuals from diverse backgrounds including chartered accountants, developers, risk management professionals, cybersecurity professionals, and data scientists. We are organized into global teams comprising business and technology auditors to cover all the firm's businesses and functions, including securities, investment banking, consumer and investment management, risk management, finance, cyber-security and technology risk, and engineering. THE ROLE AND RESPONSIBILITIES As the third line of defence, Internal Audit's mission is to independently assess the firm's internal control structure, including the firm's governance processes and controls, and risk management and capital and anti-financial crime frameworks, raise awareness of control risk and monitor the implementation of management's control measures. In doing so, Internal Audit perform the following duties: <ul> <li>Communicates and reports on the effectiveness of the firm's governance, risk management and controls that mitigate current and evolving risk</li> <li>Raise awareness of control risk</li> <li>Assesses the firm's control culture and conduct risks</li> <li>Monitors management's implementation of control measures</li></ul>Additional responsibilities include: Compliance and Legal Audit Team Specific Skills and Experience <ul> <li>Internal audit, compliance, or quality assurance testing experience</li> <li>Knowledge and expertise in auditing Anti-Money Laundering (BSA/AML), financial crime risks and corporate legal functions</li> <li>Understanding of compliance program components, risk and control processes</li> <li>Understanding of internal audit processes as related to a large financial institution</li></ul>SKILLS AND EXPERIENCE REQUIRED <ul> <li>Able to work under minimal supervision on individual tasks or on team projects Team-oriented with a strong sense of ownership and accountability</li> <li>Highly motivated with strong analytical skills, willing and able to learn new business and system processes quickly</li> <li>Accurate, accountable and able to multitask while managing both time and work load</li> <li>Written and verbal communication skills a must; strong interpersonal skills essential</li> <li>Experience as an internal auditor, consultant, and/or regulatory agency examiner within the financial services industry</li> <li>Graduate degree, preferably in a related subject; advanced degree is a plus</li> <li>Relevant certification or industry accreditation (e.g., CAMS, CIA) is a plus</li></ul>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: <a href="https://www.goldmansachs.com/careers/footer/disability-statement.html" target="_blank">https://www.goldmansachs.com/careers/footer/disability-statement.html</a> © The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity Same Posting Description for Internal and External Candidates

Internal Audit - Compliance & Legal - Analyst/Associate - Birmingham

Vacancy Name Legal Compliance Analyst Vacancy No VN1561 Business BASE Dept Code Governance Risk &amp; Compliance Employment Type Full-Time Location Country United Kingdom Description About the role and who you'll be working with: The Legal Compliance Analyst will be an integral member of the compliance team and the firm, working closely with the Compliance Manager and Assistant Compliance Manager in Europe and compliance teams of the organization globally to help ensure that the businesses are operating legally; both management and employees are in compliance with the rules and regulations of regulatory agencies, company policies and procedures are being followed and that displayed behaviour in the organisation meets and exceeds the firm standards of conduct and risk management. What you'll be doing The Legal Compliance Analyst will have a supportive and supervisory function and is integral to ensuring that procedures and protocols are followed reporting to the Compliance Manager and Assistant Compliance Manager to ensure that all client information is accurate and updated our database, full transparency of high risk relationships to senior management and the implementation of the compliance monitoring programme is effective to help mitigate against risks faced by the organization. The role will also involve ensuring that management and employees are in compliance with the rules and regulations of regulatory agencies, company policies and procedures, and that behaviour in the organisation meets the minimum firm standards of conduct and risk management. The Legal Compliance Analyst will get involved in a range of administrative, filing, screening and due diligence tasks to ensure accurate records of all relevant client entities is maintained and reviewed at all times. Responsibilities: • Assist management (Compliance Manager and Assistant Compliance Manager) to administer day-to-day tasks while monitoring, managing, and delegating tasks to the Compliance team by allocating resources effectively • Conducting screening, research and background checks to identify PEPs, sanctions issues and other regulatory and reputational risks to prevent money laundering, tax evasion and any other illegal activities • Drafting high risk and PEP client submissions for onward escalation to the Compliance Officer and Risk Committee for review and approval; ensure enhanced due diligence policies and procedures are followed • Create and maintain a Team action tracker detailing all matters currently being worked on, future projects, legacy projects, monitoring progress to ensure completion in a timely manner and within agreed deadlines. • Checking internal tracking systems and incoming emails for compliance requests and coordinate the compliance team as needed • Perform CDD file review, monitor and report on progress • Effectively deal with resourcing (e.g. when staff are out, planned or otherwise) • Prepare suspicious transaction reports for external authorities if needed • Involved in conflict check process • Liaising with members of the staff across different teams, and third parties regarding general compliance matters • Play a key role in communication between different global business units and team members • Run training sessions as needed (Ad Hoc, Launch &amp; Learn, Induction); • Assist with the design and implementation and on-going maintenance of administrative processes; • Ensuring that the compliance database is updated in a timely manner both in person and by the team • Reporting to Compliance Manager and Assistant Compliance Manager on work in progress by running reports on a regular basis • Running integrity data control reports such as UBO information, ad hoc data clean ups like name fields, gender, etc. • Other compliance duties as assigned by senior management Qualifications &amp; Experience: • Bachelor's degree in business administration, law, finance, compliance, corporate governance or relevant field • Minimum of three (3) years' in similar roles, experience in the offshore legal industry will be an advantage. • Working knowledge and understanding of sanctions regimes, PEPs and other high risk categories; understanding of complex structures and SPVs • Highly computer literate - proficient in using Microsoft, Excel and PowerPoint; candidates with knowledge and experience using Intapp and Service Now will be highly advantaged. This also applies to experience in using other Screening tools such as LexisNexis and Riskscreen • Experience with management, Board and regulatory reporting is required • A fundamental understanding of AML/CFT rules and excellent AML/CFT Training skills • Excellent communication skills both written and verbal and organizational skills • Self-motivated and able to work without close supervision • Effective communicator, excellent interpersonal and people management skills • Excellent time management skills with the ability to work under pressure and prioritise multiple tasks Applications Close Date 24 Nov 2024

Legal Compliance Analyst

EY's Financial Services (FS) Tax practice provides tax advisory, transactions and compliance services to a variety of clients in the Financial Services market ranging from some of the world's largest multinational institutions, corporations, and funds. The Global Compliance Reporting team continues to experience growth due to strong client demand. The opportunity We are looking for an experienced, enthusiastic Senior Manager to help develop our Financial Services team across National Markets. Your key responsibilities As a Senior Manager, you will play a major role in delivering tax audit work but will also be involved in a diverse mix of other work across our network. A significant part of the role will focus on supporting the partner group with building out the practice, building strong client relationships within the current and target client base. Working in practice means that the job is, by its nature, different every day and we want someone who is actively looking for this challenge. An agile approach to working with different projects and people is therefore essential. Skills and attributes for success <ul> <li>Managing the successful delivery of tax projects, ensuring technical excellence and a practical/business driven approach;</li> <li>Managing the end to end process for the clients in your portfolio, which will include opportunity identification right through to delivery;</li> <li>Being the day to day contact for the clients in your portfolio;</li> <li>Working with a wide range of individuals, both internal and external, from across the globe;</li> <li>Providing insightful, advice to clients on a range of tax issues;</li> <li>Ensuring a high level of client service;</li> <li>Identifying opportunities; and</li> <li>Assisting in winning work by proactively managing existing clients and contributing to winning new clients.</li></ul>To qualify for the role, you must have <ul> <li>An enthusiastic attitude and flexible approach to work;</li> <li>A focus on quality;</li> <li>ACA / ACCA / CA / CTA / law or equivalent qualification (or breadth of knowledge equivalent);</li> <li>A thorough understanding of UK corporation tax issues;</li> <li>Experience of working in a compliance and reporting environment, either within practice or industry;</li> <li>Excellent written and oral communication skills;</li> <li>Strong interpersonal skills with the ability to build effective working relationships with current and potential clients;</li> <li>Project management experience.</li></ul>Ideally, you'll also have <ul> <li>A pragmatic approach to problem solving;</li> <li>A commitment to deliver results;</li> <li>Experience in a FS tax environment</li> <li>A desire to take on responsibility; and</li> <li>The ability to motivate a team; manage, mentor and train junior staff and work with people from across the business</li></ul>What we look for We are looking for ambitious, driven accounting professionals who want a challenging and stimulating career. For further information please visit our careers microsite here. What working at EY offers We offer a competitive remuneration package where you'll be rewarded for your individual and team performance. Our comprehensive Total Rewards package includes support for flexible working and career

Financial Services Tax & Law - Global Compliance & Reporting - Tax Senior Manager - London

Join EY's Financial Services (FS) Tax practice as a Corporate Tax Manager and you will be helping clients meet the complex demands of today's tax environment. You will help to manage relationships with some of our key local and national clients, both delivering services and introducing deep specialists to them as required. You will help them understand the tax implications of political, regulatory, accounting and law changes and build in sustainable strategies to deal with them. With a focus on tax compliance, tax reporting and audit you will also have the opportunity to get involved in advisory and transactions. The opportunity: EY has ambitious plans to develop and expand in National Markets and further develop our high performing teams. Working in our FS Global Compliance and Reporting (GCR) team will allow you to serve and strengthen relationships with our clients locally and make significant contributions to a number of national accounts. Our FS Global Compliance and Reporting team has grown rapidly over recent years to 120 people and created the need for local tax expertise specialised in the sector. Joining the team will give you the unique opportunity to influence, shape and mould the tax practice whilst gaining invaluable experience. You will have the opportunity to bring your expertise to help drive the growth of our business and build key relationships with prestigious clients. Playing a key role in this success will give you the skills you need to propel your career to the highest level, while gaining a broader experience than you might receive in larger teams. If you're creative, innovative, curious and looking to progress in your career this could be the perfect opportunity for you. Your key responsibilities: • Building and maintaining key client relationships by delivering exceptional client service • Ensuring technical excellence and practical/business driven approach taken on all projects • Identifying and driving opportunities - use your knowledge gained from other projects and from our knowledge sharing sessions and technical training to add input to new projects and proposals • Building strong client and internal relationships - develop and use your relationship skills to create your own external and internal networks • Counsel and develop more junior staff through delegation and on the job training Skills and attributes for success: • Strategically and commercially aware • Ability to build strong client relationships and committed to delivery of exceptional client service • Excellent communicator in a range of situations both written and oral. • Enthusiastic and flexible attitude to work • Strong and motivated team player who integrates with new teams quickly • Coaching and developing more junior staff • Ability to identify areas of risk, carry out effective reviews and know when to refer upwards To qualify for the role, you must have: • Experience in corporate tax with a large accountancy or law firm, HMRC or in-house tax team • Any of the following preferred: ACA / ACCA / CA / CTA (or breadth of knowledge equivalent to CTA, e.g. law qualification) • Graduate/graduate calibre or equivalent work experience Ideally, you will also have: • Project management experience What we look for You'll proactively maintain your technical knowledge by keeping abreast of developments in UK and international tax concepts and your awareness of issues affecting the financial services sector so that you can better advise our clients. The types of project you'll contribute towards may include: • Tax reporting • Tax compliance • General advisory and applying new tax legislation • Impact of regulation and regulatory reporting • Tax due diligence and structuring advice • Managing relationships with HMRC In return, we'll provide investment in the right sort of training and offer you the opportunities on projects and assignments that will develop and challenge you so that you're in the best place to further develop as tax professional. Whatever the projects and assignments you work on you can be confident that you're contributing towards helping our clients to develop and execute their international tax strategy ensuring technical excellence and providing the highest levels of client service. What working at EY offers We offer a competitive remuneration package where you'll be rewarded for your individual and team performance. Our comprehensive Total Rewards package includes support for flexible working and career development, and with FlexEY you can select benefits that suit your needs, covering holidays, health and well-being, insurance, savings and a wide range of discounts, offers and promotions. Plus, we offer: • Support and coaching from some of the most engaging colleagues around • Opportunities to develop new skills and progress your career • The freedom and flexibility to handle your role in a way that's right for you EY is committed to being an inclusive employer and we are happy to consider flexible working arrangements. We strive to achieve the right balance for our people, enabling us to deliver excellent client service whilst allowing you to build your career without sacrificing your personal priorities. While our client-facing professionals can be required to travel regularly, and at times be based at client sites, our flexible working arrangements can help you to achieve a lifestyle balance. About EY As a global leader in assurance, tax, transaction and advisory services, we're using the finance products, expertise and systems we've developed to build a better working world. That starts with a culture that believes in giving you the training, opportunities and creative freedom to make things better. Whenever you join, however long you stay, the exceptional EY experience lasts a lifetime. If you can confidently demonstrate that you meet the criteria above, please contact us as soon as possible. Join us in building a better working world. Apply now.

6 Legal Compliance Jobs in United Kingdom