VP, Global Banking & Markets Compliance

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

Job summary

Goldman Sachs Global Compliance seeks a seasoned professional to prevent, detect and mitigate regulatory and reputational risk within the Global Banking & Markets franchise in New York. You will advise on complex regulatory matters and uphold conduct standards across sales, trading and product areas.

The role requires 6+ years in fixed income or rates compliance, with deep knowledge of SEC, CFTC, FINRA and related rules, plus the ability to communicate clearly with senior leaders while managing

Qualifications

• Bachelor’s degree in a relevant field.
• 6+ years of experience in fixed income compliance or rates compliance, regulatory advisory, or surveillance.
• Knowledge of rules governing broker-dealers, swap dealers and other regulated financial services entities.
• Strong understanding of government bonds, interest rate swaps, futures, repos and electronic trading.
• Excellent written and verbal communication; ability to influence senior leaders.
• Analytical and risk-focused mindset.

Responsibilities

• Provide day-to-day line compliance coverage for the GBM Interest Rate Products businesses including FICC Trading, Sales and Strats teams.
• Advise on conducting business in a compliant manner with government bonds, interest rate derivatives, and repos.
• Escalate significant regulatory, conduct or reputational risks.
• Assess new business initiatives and coordinate with stakeholders to support governance.
• Represent Compliance in cross-divisional projects supporting regulatory requirements.
• Develop, draft and maintain compliance policies and procedures.
• Create and implement compliance training programs for FICC professionals.
• Assist with regulatory examinations, audits and inquiries.
• Oversight of surveillances and programmatic reviews to assess risks.
• Analyze new or amended laws to formulate practical compliance solutions.
• Evaluate risks and assist in developing compliance action plans.

Skills

Excellent communications

Strong judgment

Analytical mindset

Prioritization under pressure

Education

Bachelor’s Degree

Job description

Goldman Sachs Global Compliance seeks a seasoned professional to prevent, detect and mitigate regulatory and reputational risk within the Global Banking & Markets franchise in New York. You will advise on complex regulatory matters and uphold conduct standards across sales, trading and product areas.

The role requires 6+ years in fixed income or rates compliance, with deep knowledge of SEC, CFTC, FINRA and related rules, plus the ability to communicate clearly with senior leaders while managing