Global Compliance Associate - Equities & Custody Solutions

The Goldman Sachs Group; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

The Goldman Sachs Group Global Compliance division seeks a Public Compliance officer to help prevent, detect and mitigate regulatory and reputational risk across the Global Banking & Markets business. This role provides coverage for Equities/Custody Solutions and works with Legal, Risk, Finance, Operations, Technology and Internal Audit to uphold conduct standards.

Responsibilities include drafting policies, delivering training, supporting examinations, and overseeing governance, risk

Qualifications

• Bachelor's Degree required.
• 3+ years of Compliance, Legal, Regulatory or Financial Services industry experience.
• Knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.).
• Regulatory experience within Equities or Custody Solutions a plus.

Responsibilities

• Provide day-to-day line Compliance coverage for the Global Banking & Markets Equities Custody Solutions businesses including coverage of Custody Solutions Sales, Client Services, Trading Services, Product Development and Operations teams
• Advise on how to conduct the firm's business particularly focused on Custody Solutions client activity 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/Custody Solutions 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 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 experience

Legal/financial services knowledge

Excellent communication skills

Project leadership experience

Education

Bachelor's Degree

Job description

The Goldman Sachs Group Global Compliance division seeks a Public Compliance officer to help prevent, detect and mitigate regulatory and reputational risk across the Global Banking & Markets business. This role provides coverage for Equities/Custody Solutions and works with Legal, Risk, Finance, Operations, Technology and Internal Audit to uphold conduct standards.

Responsibilities include drafting policies, delivering training, supporting examinations, and overseeing governance, risk