Compliance, Global Markets - Equities, 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 firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms 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 firms 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 firms businesses as well as the laws, regulations and policies governing those businesses. Divisional Compliance provides coverage support to the Divisions functional (including sales and trading) and product areas (equities, options, fixed income, etc.), while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit. Responsibilities: Provide day-to-day line Compliance coverage for Global Markets Division Equities Sales, Trading, Strats and Prime Services personnel Advise on how to conduct the firms business in a manner that complies with the vast array of rules, regulations and regulatory expectations Assess new business initiatives and coordinate with interested stakeholders to support the firms overall governance framework Represent Compliance in broad based cross-divisional projects supporting regulatory requirements Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices Create and implement Compliance training programs for Equities and Prime Services professionals Assist with regulatory examinations, audits and inquiries Perform look-backs, provide oversight and manage compliance escalations to assess compliance risks and breaches Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues Qualifications: Bachelors Degree 5+ years Compliance, Legal, Regulatory or Financial Services industry experience Knowledge of trading rules and regulations (SEC, FINRA, NYSE, Nasdaq, CBOE, ISE, etc.) and market structure preferred Excellent communications skills (oral and written) Ability to handle multiple tasks simultaneously and work under pressure ABOUT GOLDMAN SACHS: 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 /careers. Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: The Goldman Sachs Group, Inc., 2020. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Created: 2024-11-19