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


GLOBAL COMPLIANCEOur 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.

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


The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

© The Goldman Sachs Group, Inc., 2017. All rights reservedGoldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

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