Compliance, Federation Compliance - Regulatory Transaction Reporting, Associate/Vice President
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About The Position
The Compliance, Federation Compliance - Regulatory Transaction Reporting role at Goldman Sachs is a critical position within the Global Compliance Division, which is dedicated to preventing, detecting, and mitigating compliance, regulatory, and reputational risks across the firm. This division plays a vital role in strengthening the firm's culture of compliance through an enterprise-wide compliance risk management program. As part of the second line of defense, the Compliance team is responsible for assessing compliance risks, monitoring adherence to laws and regulations, designing and implementing controls, conducting independent testing, and leading responses to regulatory examinations and audits. The successful candidate will join a diverse team that includes professionals from various backgrounds such as law, accounting, sales, and trading, and will be expected to demonstrate sound judgment and adaptability in a constantly evolving regulatory landscape. The Federation Compliance team specifically provides compliance coverage to various divisions including Operations, Engineering, Controllers, Corporate Treasury, and more. This role will focus on compliance coverage of Operations functions, particularly regarding non-financial regulatory reporting requirements in the Americas, such as CFTC and SEC swap dealer transaction reporting. The candidate will engage in risk identification, compliance monitoring, and the development of policies and procedures to ensure adherence to applicable regulations. Additionally, the role involves advising Operations functions on regulatory matters, conducting forensic reviews, and coordinating with the broader Federation Compliance team on various initiatives and projects. The ideal candidate will possess a strong understanding of operational practices in securities and derivatives markets, as well as knowledge of U.S. regulations and the global regulatory environment. They will be expected to communicate effectively with senior leadership, manage compliance issues, and support Operations functions in their interactions with regulators. This position offers an opportunity to contribute to the firm's compliance program and engage in region-wide and global initiatives.
