Compliance, Securities Division Compliance, Associate / Vice President

MORE ABOUT THIS JOB

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.

Based on the NY trading floor, the candidate will work as part of the US Securities Divisions Compliance Team to primarily cover the Foreign Exchange and Emerging Markets Businesses of the firm. The candidate will also be required to work closely with other firm departments, such as Controllers, Operations, Credit, Internal Audit and Legal.

The candidate's responsibilities would include: Providing advice on individual transactions, new products and business initiatives. Monitoring of sales, trading and new issue activity to ensure compliance with appropriate rules, regulations and firm policies. Creating and implementing compliance training programs for business unit professionals. Developing policies, procedures and best practices for each business unit. Keeping up-to-date with relevant regulatory/rule changes including the analysis and implementation of such regulatory/ rule changes. Participating in regulatory and internal investigations and audits. Coordinating and leading compliance related projects.

RESPONSIBILITIES AND QUALIFICATIONS

  • The ideal candidate must be proactive, good interpersonal skills, and a team player who is able to prioritize in a fast moving, high pressure changing environment.
  • Must work well under pressure (trading floor environment) and have a positive, hands-on, "can do" attitude.
  • Excellent communication skills both written and oral.
  • Strong analytical, technical and problem solving skills with the ability to exercise sound and balanced judgment.
  • Ability to handle multiple tasks simultaneously o Takes ownership over tasks/projects, detail oriented and enjoy fact-gathering. o Must be comfortable issue-spotting, working with subject matter experts and leading teams to resolution.

ABOUT GOLDMAN SACHS

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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