Compliance, Federation Compliance - Corporate Treasury Compliance Officer, Vice President
- New York, NY
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.
RESPONSIBILITIES AND QUALIFICATIONS
The role of the Federation Compliance - Corporate Treasury Compliance Officer is to articulate and maintain the standards of conduct required of the Firm's Corporate Treasury Division as well as the laws, regulations and policies governing these businesses in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. Federation Compliance - Corporate Treasury coverage provides support to the Division's functional areas, including Treasury Execution Services, which focuses on efficient management of liabilities supporting the firm's assets, including issuance of secured and unsecured liabilities and execution of interest rate, currency, and other hedging strategies.
Roles and Responsibilities:
- Treasury compliance coverage based role, which includes providing real-time compliance counsel to the Corporate Treasury Department holistically, as well as trading specific compliance counsel to the Treasury Execution Services group. This includes all relevant rules, regulations and internal policies that govern the Corporate Treasury business.
- Provide proactive risk mitigation instructions on regulatory and policy matters including individual transactions, new products and business initiatives
- Assistance with the interpretation and implementation of new rules/regulation
- Development and delivery of both ad-hoc and annual training
- Developing, drafting and maintaining Compliance policies and procedures outlining firm requirements, regulations and best practices
- Development and deployment of second line controls and assisting the first line with the development of their controls
- Review of new algorithms and other electronic-related business initiatives
- Coordination with the broader Federation Compliance team on initiatives and projects
- Coordination with broader firm departments, such as Controllers, Operations, Internal Audit and Legal
- Participation in Compliance, regulatory and internal investigations and audits, including utilizing firm systems to conduct surveillance and forensic reviews
SKILLS AND EXPERIENCES WE ARE LOOKING FOR
- 5+ years Compliance/Legal/Regulatory background covering Corporate Treasury / Treasury Execution functions
- Clear, concise written and verbal communications skills; able to communicate with impact at senior levels
- Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
- Sound judgment, ethics and integrity
- Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
- Ability to process large amounts of information on novel topics and identify salient points, and succinctly present them to a senior audience
- Ability to build relationships with stakeholders of various seniority and across different roles
- Proactive, self-motivated, assertive and well organized
- Takes ownership of tasks, progresses them independently, and escalates to senior stakeholders when required
- Strong analytical, technical and problem-solving skills, with the ability to exercise sound and balanced judgment
- Ability to learn and navigate technical firm systems used for forensic reviews
- Forward looking, focused on improving and streamlining controls and processes
- Ability to work independently and yet remain a strong team player
- Ability to handle multiple tasks simultaneously and work to tight deadlines, balancing short-term and long-term projects
- A strong understanding of EU and US regulation (MIFID II, MAR, Dodd Frank, FX Global Code, CFTC, SEC)
ABOUT GOLDMAN SACHS
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: https:// www.goldmansachs.com/careers/footer/disability-statement.html
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Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
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