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Compliance, Securities Division Compliance, Associate/Vice President
Goldman Sachs
New York, NY, United States
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Job Summary & Responsibilities
The role of a Securities Division Compliance Officer is to assist the Firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk by articulating and maintaining the standards of conduct required of the Firm’s businesses as well as the laws, regulations and policies governing these businesses. Divisional Compliance provides coverage support to the Division’s business units while working closely with other Firm departments, including Finance, Operations, Technology, Internal Audit and Legal.
Basic Qualifications
• Cover personnel in the Prime Services business unit (which includes the Firm’s prime brokerage, clearing, and securities lending 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 business unit professionals
• Provide advice on general clearing, custodial and trading rules and regulations
• Perform look-backs, compliance oversight and surveillance 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 Firm departments on new desk initiatives
Preferred Qualifications
• 2+ years Compliance/Legal/Regulatory or financial services industry experience
• Excellent written communications skills
• Knowledge of U.S. clearing/trading/custodial rules and regulations (SEC, CBOE, FINRA, CFTC, CME, ICE, etc.)
• Ability to handle multiple tasks simultaneously and work under pressure