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Goldman Sachs

Compliance, Federation Compliance - Regulatory Transaction Reporting, Vice President

New York, NY

Global Compliance
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.

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Part of the Global Compliance Division, the firm's Federation Compliance team is a global team with responsibility for providing compliance coverage to Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Finance, Planning and Analysis, Risk, Tax and Human Capital Management divisions. This includes:

  • Conducting risk identification, measurement, and assessment
  • Monitoring for compliance with laws, rules, regulations, and policies, including the identification and investigation of conduct related issues
  • Participating in firm responses to regulatory examinations, audits, and inquiries
  • Performing surveillance and investigations of business activities of the above-referenced Federation groups
  • Testing the effectiveness of controls
  • Writing policies and procedures
  • Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiatives

The team has members in Bengaluru, Hyderabad, Dallas, London, New York, Salt Lake City, Singapore, Tokyo, and Warsaw.

Federation Compliance is looking for a talented individual to join the team to assist with the coverage of Operations.


This role will focus on, but not be limited to, providing Compliance coverage of Operations functions with an emphasis on non-financial regulatory reporting requirements in the Americas region such as CFTC and SEC swap dealer transaction reporting. This role has a diverse scope covering all assets classes, for multiple reporting obligations for GS Legal Entities globally.

A successful candidate will also participate in region-wide, and global initiatives to enact the Global Compliance mandate.

To fulfil this role, you will:

  • Advise, challenge and influence Operations functions about regulations, policies, and reputational risk
  • Analyze regulatory changes and enforcement actions to assess the impact to Operations, and participate in work to ensure the business is able to support applicable rules and requirements
  • Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirements
  • Identify, investigate, and manage compliance issues involving Operations functions
  • Provide support and guidance to Operations functions in dealing with regulators
  • Brief senior leadership on risks identified and ensure stakeholder engagement
  • Conduct forensic reviews to monitor compliance with regulations and firm policies
  • Input into compliance risk assessments to ensure effectiveness of the firm's compliance program
  • Draft and assist in the implementation of policies and procedures
  • Develop and deliver communication and training
  • Investigate and liaise with internal stakeholders in relation to conduct issues
  • Recommend compliance testing work to be performed
  • Provide support and guidance to Operations functions in managing information barriers
  • Coordinate with the broader Federation Compliance team on initiatives and projects


A strong candidate for Federation Compliance will satisfy some or all of the following criteria:

  • At least 5 years of work experience including 3 years as a compliance officer or in a risk management or control function role
  • Knowledge of operational practices in securities and derivatives markets
  • Knowledge of regulations, practices, and markets infrastructure in the U.S
  • Understanding of the global regulatory environment
  • Experience working at a U.S. registered broker-dealer, swap dealer, futures commission merchant, and/or security-based swap dealer
  • Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries

A strong candidate for Federation Compliance will possess the following skills:

  • Clear, concise 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
  • Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
  • Team-oriented and supportive of others' success; comfortable representing a teamwork product to stakeholders
  • Well organized with the ability to manage both longer term projects and daily, often time-sensitive, escalations

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

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

© 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

Salary Range
The expected base salary for this New York, New York, United States-based position is $115000-$250000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.

Client-provided location(s): New York, NY, USA
Job ID: goldman-116576
Employment Type: Other

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