Global Compliance Lead, Banking & Markets

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

Job summary

Goldman Sachs Group, Inc. in New York seeks a Global Banking & Markets Public Compliance officer to prevent, detect and mitigate regulatory and reputational risk across the firm’s sales and trading businesses, including equities flow and derivatives.

You will help articulate conduct standards and ensure adherence to laws, while working with Legal, Risk, Finance, and Internal Audit to strengthen controls. This role emphasizes developing policies, delivering training, and guiding governance across

Qualifications

• Bachelor’s Degree
• 6+ years 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 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

Compliance experience

Regulatory knowledge

Effective communication

Project leadership

Time management

Regulatory exposure

Education

Bachelor’s Degree

Job description

Goldman Sachs Group, Inc. in New York seeks a Global Banking & Markets Public Compliance officer to prevent, detect and mitigate regulatory and reputational risk across the firm’s sales and trading businesses, including equities flow and derivatives.

You will help articulate conduct standards and ensure adherence to laws, while working with Legal, Risk, Finance, and Internal Audit to strengthen controls. This role emphasizes developing policies, delivering training, and guiding governance across