Compliance, GBM Public Compliance- Equities, Vice President, New York City
About The Position
The Global Compliance division at Goldman Sachs is responsible for preventing, detecting, and mitigating compliance, regulatory, and reputational risks across the firm. As an independent control function and part of the firm’s second line of defense, Compliance assesses risks, monitors adherence to laws and regulations, designs and implements controls, policies, procedures, and training, conducts independent testing, investigates potential breaches, and manages responses to regulatory examinations and inquiries. The team comprises individuals from diverse backgrounds including law, accounting, sales, and trading, valuing sound judgment, curiosity, and adaptability to a changing regulatory landscape. The specific role of a Global Banking & Markets- Public Compliance officer is to support the Global Banking & Markets-Public business by articulating and maintaining the firm's standards of conduct and ensuring compliance with governing laws, regulations, and policies. This Business-Aligned Compliance role offers functional coverage for sales and trading activities and general compliance for product areas within these businesses, collaborating closely with Legal, Risk, Finance, Operations, Technology, and Internal Audit.
Requirements
- Bachelor’s Degree
- 6+ years Compliance, Legal, Regulatory or Financial Services industry experience
- Knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.)
- Excellent communications skills (oral and written) that demonstrate control-side empowerment
- Experience leading, managing and participating in regulatory projects and business initiatives requiring compliance input.
- Proven ability to handle and prioritize multiple tasks simultaneously and work under pressure
Nice To Haves
- Understanding of equities market, specifically cash equities, equity derivatives and structured products conventions preferred
Responsibilities
- Provide day-to-day line Compliance coverage for the Global Banking & Markets – Public businesses, including coverage of Equities Sales, Trading, Strats, and Structuring teams
- Advise on how to conduct the firm’s business in a manner that complies with firm policies along with the vast array of rules, regulations and regulatory expectations
- Assess new business initiatives and coordinate with stakeholders to support the firm’s overall governance framework
- Represent Compliance in cross-divisional projects supporting regulatory requirements
- Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
- Create and implement Compliance training programs for Equities professionals
- Assist with regulatory examinations, audits and inquiries
- Perform oversight of surveillances and programmatic reviews to assess Compliance risks and breaches
- Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
- Evaluate compliance risks and assist in developing compliance action plans through the firm’s Compliance Risk Assessment
Benefits
- training and development opportunities
- firmwide networks
- benefits
- wellness
- personal finance offerings
- mindfulness programs
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What This Job Offers
Job Type
Full-time
Career Level
Executive
