VP, Global Equities Compliance - Public Markets

Goldman Sachs; New York (NY); On-site; USD 150,000 - 210,000; Full time

Job summary

Goldman Sachs is hiring a Global Compliance professional to prevent, detect, and mitigate regulatory and reputational risk across Global Banking & Markets – Public. You’ll articulate conduct standards and collaborate with Legal, Risk, Finance, Operations, Technology, and Internal Audit.

The role covers coverage for Equities Sales, Trading, Strats, and Structuring, with a focus on regulatory compliance and policy implementation in a fast-paced environment.

Qualifications

• Bachelor’s Degree in a relevant field.
• 6+ years in Compliance, Legal, Regulatory or Financial Services.
• Knowledge of rules for broker-dealers, swap dealers, and regulators (SEC, CFTC, FINRA, NYSE, Nasdaq...).
• Strong understanding of equities markets and derivatives preferred.
• Excellent written and verbal communications.
• Experience leading regulatory projects requiring compliance input.

Responsibilities

• Provide day-to-day Compliance coverage for Global Banking & Markets – Public.
• Advise on practices to comply with policies and regulations.
• Assess new business initiatives and support governance.
• Represent Compliance in cross-divisional regulatory projects.
• Develop and maintain Compliance policies and procedures.
• Create and implement Compliance training for Equities teams.
• Assist with regulatory examinations, audits and inquiries.
• Oversee surveillances and reviews to assess risks.
• Analyze laws to formulate practical compliance solutions.
• Develop action plans through the firm’s Compliance Risk Assessment.

Skills

Regulatory compliance

Financial services

Communication

Regulatory investigations

Stakeholder mgmt

Education

Bachelor's Degree

Job description

Goldman Sachs is hiring a Global Compliance professional to prevent, detect, and mitigate regulatory and reputational risk across Global Banking & Markets – Public. You’ll articulate conduct standards and collaborate with Legal, Risk, Finance, Operations, Technology, and Internal Audit.

The role covers coverage for Equities Sales, Trading, Strats, and Structuring, with a focus on regulatory compliance and policy implementation in a fast-paced environment.