Compliance, Securities Division Trade Compliance Officer, Analyst/Associate

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

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

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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