Compliance, O, T, F & S Compliance, Vice President - Jersey City

This is a role within the OTF&S Compliance team supporting the Operations, Technology, Finance, Risk, Services and Human Capital Management divisions. The successful candidate should be able to work with stakeholders who are responsible for implementing key controls, bringing a regulatory mindset to the firm's risk management program. Candidates must be able to organize their time to manage time sensitive issues and also drive longer-term projects forward as part of their regular workload.

Principal Responsibilities:

  • Provide day-to-day Compliance advisory service to covered groups, with a focus on the Operations Division, and with an emphasis on activities involving Securities Operations, including trade execution, clearance, and regulatory reporting regarding same
  • Develop, draft and assist in the implementation of policies and procedures
  • Work with Operations teams to identify and mitigate compliance risks inherent to those areas
  • Help develop and deliver training as part of the ongoing Compliance training program tailored to suit the individual requirements of the Divisions/groups OTF&S Compliance supports
  • Provide support to the regional OTF&S Compliance teams on various projects and initiatives
  • Liaise with other Compliance, Legal and Federation personnel on cross-divisional initiatives

Basic Qualifications• BA Degree

  • At least 5-7 years of experience working in a Compliance, Legal, and/or Operations function
  • Knowledge of FINRA and SEC key rules and regulations

Preferred Qualifications• Interest in the operational and mechanical aspects of financial markets, inclusive of trade execution, clearance, settlement and related regulatory reporting (e.g., transaction and position reporting per relevant rules)

  • Pro-active, self-motivated, quick-learner, assertive and well organized
  • Ability to work independently, but still be a strong team player
  • Forward looking, focused on streamlining processes and increasing efficiency
  • Attention to details, and excellent oral and written communication skills
  • Flexibility and ability to multi-task
  • Hands on, proactive approach to problem solving

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet. © The Goldman Sachs Group, Inc., 2015. All rights reserved.


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