Global Banking & Markets Compliance Lead

The Goldman Sachs Group; New York (NY); On-site; USD 100,000 - 250,000; Full time

Job summary

The Goldman Sachs Group, a premier global investment banking and securities firm, seeks a Global Banking & Markets- Public Compliance officer in New York. This role focuses on preventing, detecting and mitigating regulatory and reputational risk across the Global Banking & Markets public business, working with Legal, Risk, Finance, Operations, Technology and Internal Audit.

You will cover day-to-day compliance for equities flow and derivatives, advise on regulatory expectations, and help shape

Qualifications

• Bachelor’s Degree required.
• 6+ years Compliance, Legal, Regulatory or Financial Services experience.
• Knowledge of rules governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.)
• Regulatory experience within the OTC derivatives and securities-based swaps businesses a plus
• Understanding of cash equities, options, derivatives, and structured products market conventions preferred
• Excellent communications skills (oral and written) that demonstrate control-side empowerment
• Experience leading, managing and participating in regulatory projects and business initiatives requiring compliance input.

Responsibilities

• Provide day-to-day line Compliance coverage for the Global Banking & Markets Equities Flow and Strategic Derivative businesses, including coverage of Equities Sales, Trading, and Strats teams
• Advise on how to conduct the firm's business, particularly focused on listed and OTC derivatives, securities-based swaps, and financing products 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

Skills

Regulatory compliance

Risk assessment

Cross-functional collaboration

Regulatory reporting

Education

Bachelor's degree

Job description

The Goldman Sachs Group, a premier global investment banking and securities firm, seeks a Global Banking & Markets- Public Compliance officer in New York. This role focuses on preventing, detecting and mitigating regulatory and reputational risk across the Global Banking & Markets public business, working with Legal, Risk, Finance, Operations, Technology and Internal Audit.

You will cover day-to-day compliance for equities flow and derivatives, advise on regulatory expectations, and help shape