Legal, Sales and Trading Attorney, Vice President
MORE ABOUT THIS JOB
We work at the intersection of finance and law, providing counsel and advice that support activities across the firm. We handle litigation and arbitration, perform research and due diligence, aid in financing and legal filings, deal with contracts and intellectual property rights that show our commitment to clients, shareholders, and regulators. Whether you're an experienced attorney or a quick learner with a strong interest in financial law coupled with critical thinking skills, our dynamic group might be right for you.
The Legal Department is looking for an attorney with significant experience in sales and trading issues to be part of the legal team covering Securities Division. Position offers opportunity to gain additional cross-product, cross-platform expertise, as part of an inter-disciplinary team covering both the fixed income and equity sales and trading businesses, which have integrated operations.
RESPONSIBILITIES AND QUALIFICATIONS
- Advising Goldman Sachs' client franchise businesses based in the Americas, with primary focus on sales and trading of equities and fixed income products including shares, corporate and municipal bonds, index, synthetic and portfolio products, exchange-traded products such as ETFs and options, interest rate products, , convertibles, etc. Responsibilities will encompass advising on all regulatory, transactional, market structure and new product/services matters impacting the businesses providing services in equities and fixed income products across the Division. Examples of topics within the attorney's scope of coverage will include, for example, best execution, cross-asset sales and idea generation, corporate access, research-related issues, electronic trading and client services on exchanges and other venues, and the application of cross-border regulations to transactions and services
- Assist in providing legal and regulatory advice on trading and sales initiatives (including electronic trading) and new, cutting-edge cross-Divisional strategic platforms for client transactions, investing and research services and analytics, such as Goldman Sachs' global Marquee platform
- Manage relationships with various regulators. Team members interact with our regulators on a regular basis, advocating positions for the firm, as well as acting as informing and educating regulators on best practices and current developments
- Assist the Litigation and Regulatory team in handling various regulatory investigations, exams, and litigated matters
- Communicate regulatory compliance requirements to investment professionals, including training
- Help develop regulatory and firm policies, procedures and guidelines, including those needed for new products and trading services
- Coordinate with other legal, compliance and control groups within the firm to ensure consistency of coverage in addressing the firm's risk management and other risk-related issues
- 7+ years' legal experience post JD
- In-house experience in a sales and trading environment or significant law firm experience in a securities regulatory practice
- Strong substantive knowledge of broker dealer regulation, including: sales practices, best execution, "know your customer", mark-ups policy, Regulation ATS, soft dollars, and short sale regulation
- Outstanding law firm credentials and relevant in-house experience in securities sales and trading environment
- Familiarity with wide range of equity and fixed income products (e.g., stock, corporate bonds, convertibles, exchange traded funds, listed options and total return swaps) and businesses
- Basic knowledge of Securities Exchange Act, Bank Holding Company and Financial Holding Company regulatory principles
- Knowledge of electronic trading issues associated with equity and fixed income securities.
- High level of initiative, integrity, and organization
- Adept at developing interpersonal relationships
- Strong, written and verbal communications skills
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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