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.
RESPONSIBILITIES AND QUALIFICATIONS Position Overview:
The role of a Global Markets Division Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Markets Division by articulating and maintaining the standards of conduct required of the firm's businesses as well as the laws, regulations and policies governing those businesses. Divisional Compliance provides coverage support to the Division's functional (including sales, trading, and capital markets) and product areas (fixed income, equities, options, etc.), while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.
Cover Global Markets Division equity sales and trading personnel (including professionals across the registered market making and electronic/DMA trading businesses), and provide advice on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations and regulatory expectations.
Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
Create and implement Compliance training programs for Equities professionals
Perform look-backs, oversight and surveillances to assess compliance risks and breaches
Assist with regulatory examinations, audits and inquiries
Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
Coordinate with the business, Legal, Technology and other divisions across the firm on new desk initiatives
5+ years Compliance, Legal, Regulatory or Financial Services industry experience
Knowledge of trading rules and regulations (SEC, FINRA, NYSE, Nasdaq, CBOE, ISE, etc.) and equities trading algorithms, alternative trading systems and market structure preferred
Excellent communications skills (oral and written)
Ability to handle multiple tasks simultaneously and work under pressure
ABOUT GOLDMAN SACHS At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers .
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https:// www.goldmansachs.com/careers/footer/disability-statement.html
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