Global Markets Compliance Analyst (Equities)

Socket.dev; New York (NY); On-site; USD 75,000 - 100,000; Full time

Job summary

Goldman Sachs in New York seeks a Global Markets Division Compliance officer to help prevent, detect and mitigate regulatory and reputational risk. The role articulates and maintains the standards of conduct required by the firm’s businesses and supports the governance framework across equities, options and fixed income trading activities.

You will work with Legal, Risk, Finance, Operations, Technology and Internal Audit to provide day-to-day Compliance coverage, develop and maintain policies,

Qualifications

• Bachelor’s degree in a related field.
• 0–3 years in compliance, legal, regulatory or financial services.
• General knowledge of rules governing broker-dealers and regulated entities.
• Understanding of equities markets is preferred.
• Excellent oral and written communication.
• Experience leading regulatory projects and initiatives.
• Ability to manage multiple projects under pressure.

Responsibilities

• Provide daily Compliance coverage for Global Markets equities sales, trading and strats.
• Advise on conducting business in line with rules and regulatory expectations.
• Assess new initiatives and coordinate with stakeholders to support governance.
• Represent Compliance in cross-divisional projects for regulatory requirements.
• Develop, draft and maintain Compliance policies and procedures.
• Create and implement Compliance training programs for Equities professionals.
• Assist with regulatory examinations, audits and inquiries.
• Perform look-backs and manage compliance escalations.
• Analyze new or amended laws and regulations to formulate practical solutions.

Skills

Regulatory knowledge

Communication skills

Project management

Prioritization under pressure

Attention to detail

Education

Bachelor's degree

Job description

Goldman Sachs in New York seeks a Global Markets Division Compliance officer to help prevent, detect and mitigate regulatory and reputational risk. The role articulates and maintains the standards of conduct required by the firm’s businesses and supports the governance framework across equities, options and fixed income trading activities.

You will work with Legal, Risk, Finance, Operations, Technology and Internal Audit to provide day-to-day Compliance coverage, develop and maintain policies,