Compliance, Regional Regulatory Affairs, Associate, Moscow

Goldman Sachs

Company 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. 


The major functions performed by Global Compliance include providing advice to the business, testing, monitoring, regulatory reporting, training, surveillance, managing regulatory audits and inquiries, and developing and implementing policies and procedures. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements, and determine how the firm can appropriately pursue global market opportunities. Global Compliance interacts with more than 130 regulatory bodies in over 30 countries. We monitor trends and changes in regulations in all jurisdictions in which the firm does business. We share information and collaborate with regulators to manage financial markets risk. Some colleagues in Global Compliance are former regulators and enforcement officers.





  • Preparation of quarterly Compliance officer report/Insider Law officer report
  • Preparation and submission of the reporting to the CBR/MOEX
  • Registration/Membership at Stock Exchanges
  • Preparation and submission of the registration card to MOEX
  • Drafting and review of local policies Anti-Corruption (policy and risk assessment)
  • Shareholding disclosures
  • Preparation and submission of the response to MOEX requests regarding the insider lists

AML/Market Abuse

  • Review of AML surveillance and documenting of suspicious and mandatory transactions + provision of the data for AML Officer report
  • KYC files review and sign off
  • Submission of mandatory reportable transactions to CBR and Rosfinmonitoring
  • List of Terrorists screening and reporting
  • Maintenance/Submission of Insiders List and Notifications to the Insiders
  • Russia Off Market exceptions management and follow-up
  • Strat Arch alerts review and closure


  • Forensic reviews
  • Vendor Management
  • Review of Master reporting file
  • Follow-ups on Internal Audit findings
  • Policies update in the PLC system
  • Reg update (REPS) system review and update on the applicable regulation
  • Follow-ups on the Firmwide/Divisional/Local trainings
  • CARMA review
  • OOOG/OOOB web-sites update
  • Approval to trading via GUI and review the alerts



High school degree in Economics or Law.



  • Strong analytical skills with excellent client relationship, organizational and project management skills
  • Strong communication skills
  • Highly motivated and adaptable
  • Team player
  • Flexibility, ability to learn quickly
  • Strong problem solving skills and the ability to manage multiple assignments
  • Detail orientated
  • English and Russian language fluency required



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.


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