Compliance, Strats Compliance Division, Electronic Trading Compliance, Vice President

Global Investment Bank and Securities firm is looking to recruit within the Electronic Trading Compliance Group of its Compliance Division.

Department Summary:

The Electronic Trading Compliance Group within Global Compliance is a niche team that plays a central role and is responsible for helping the Firm to manage its regulatory, operational and reputational risk related to electronic trading activities. This is a global team that works across U.S., EMEA, and Asia and covers all electronic trading products in the Fixed Income, Equities, Commodities, Forex and Futures markets.

Role Description

The Electronic Trading Compliance officer will provide advice to traders and sales persons regarding regulatory/compliance requirements, with a focus on technology and electronic trading risks.

Responsibilities include working with the various groups within Compliance Division to:

  • Understand e-trading systems, strategies and market structures to identify risks
  • Provide technical expertise to implement automated controls to manage operational, financial and regulatory risks
  • Provide thought leadership to review, analyze impact of and implement controls for new e-trading regulatory requirements (e.g., MiFID II, FX Code of Conduct)
  • Work across electronic trading/ sales desks, strats and technology groups to provide technical Compliance support
  • Coordinate, recommend, and execute plans to address potential risks, fulfill regulatory obligations and promote leading control practices
  • Draft and review compliance policies and procedures and written supervisory procedures
  • Assist in the preparation of responses to regulatory inquiries
  • Prepare and deliver applicable compliance training

Basic Qualifications• An undergraduate degree is required

  • Educational background in Finance and computer science is preferred
  • Working knowledge of programming languages (C/C++, Java, etc.)
  • At least 3+ years of relevant work experience, preferably in Capital Markets technology, trading or risk management
  • Strong written and verbal communication skills and an ability to work well under the pressures of a trading environment
  • Ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner

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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