Compliance Officer

3 days ago

New York, New York, United States Goldman Sachs Full time
Job Title: Global Banking & Markets - Public Compliance Officer

Job Summary:

We are seeking a highly skilled and experienced Compliance Officer to join our Global Banking & Markets team. The successful candidate will be responsible for providing day-to-day line Compliance coverage for the Global Banking & Markets - Prime Service businesses, including coverage of the RIA Custodian businesses, the Prime Brokerage business, Clearing and Risk teams.

Key Responsibilities:

  • Provide day-to-day line Compliance coverage for the Global Banking & Markets - Prime Service businesses
  • Advise on how to conduct the firm's 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 firm's 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 professionals
  • Assist with regulatory examinations, audits and inquiries
  • Perform oversight of surveillances and programmatic reviews to assess Compliance risks and breaches
  • Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
  • Evaluate compliance risks and assist in developing compliance action plans through the firm's Compliance Risk Assessment

Requirements:

  • Bachelor's 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:

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.

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 www.goldmansachs.com/careers.

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

Salary Range:

The expected base salary for this New York, New York, United States-based position is $115,000-$In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits:

Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience.

A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.

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