Compliance, Securities Division Trade Compliance Officer, Analyst/Associate

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.

The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm's businesses as well as the laws, regulations and policies governing the equity businesses in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. Divisional Compliance provides coverage support to the Division's functional (including sales, trading, and capital markets) and product areas (equities, options, etc). Divisional Compliance also works closely with other Firm departments, such as Controllers, Strategists, Information Technology, Internal Audit and Legal. Principal Responsibilities: Covering, sales and trading personnel. Responsibilities include:

  • Providing advice on general trading rules and regulations and advising on real time trading issues
  • Coordinate with Business, Legal, Technology and/or Strategists on new desk initiatives.
  • Developing and drafting compliance policies and procedures, outlining Firm policies, regulations and best practices
  • Creating and implementing compliance training programs for business unit professionals
  • Interacting with regulators and industry groups to analyze new rules and rule changes and formulate practical solutions to industry-wide issues
  • Assist with regulatory and internal investigations and audits

RESPONSIBILITIES AND QUALIFICATIONS

Preferred Qualifications:

  • 2+ years Compliance/Legal/Regulatory background
  • Strong knowledge of general trading rules/regulations (SEC,NYSE, Nasdaq, CBOE, ISE, ect.)
  • Strong analytical skills required
  • Effective communication skills
  • Ability to handle multiple tasks simultaneously and work under pressure

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.


Meet Some of Goldman Sachs's Employees

Sabrina H.

Private Wealth Advisor

Sabrina is an entrepreneur within Goldman Sachs’ team-driven culture—mobilizing an elite team of wealth management professionals that help high net-worth individuals identify investment solutions including trusts, endowments, and real estate.

Rossi R.

Software Engineer, Asset Management

Rossi is a senior developer—evaluating data insights and allowing individual investors and high net-worth individuals and families 24/7 access to top-notch technology solutions.


Back to top