VP, Global Equities Compliance - Public Markets

The Goldman Sachs Group; New York (NY); On-site; USD 180,000 - 240,000; Full time

Job summary

The Goldman Sachs Group, a leading global investment banking and securities firm headquartered in New York, seeks a Global Banking & Markets - Public Compliance officer. The role focuses on preventing, detecting, and mitigating regulatory and reputational risk while upholding conduct standards across sales and trading.

You will partner with Legal, Risk, Finance, Operations, Technology, and Internal Audit to implement controls, training, and governance that strengthen compliance across the

Qualifications

• Bachelor's Degree in a relevant field.
• 6+ years of compliance, legal, regulatory, or financial services experience.
• Knowledge of rules governing broker-dealers, swap dealers, and other regulated entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.).
• Understanding of equities market and related products conventions preferred.
• Excellent oral and written communication that demonstrates control-side empowerment.
• Experience leading regulatory projects and business initiatives requiring compliance input.
• Proven ability to manage multiple tasks simultaneously and work under pressure.

Responsibilities

• Provide day-to-day line Compliance coverage for the Global Banking & Markets - Public businesses, including Equities Sales, Trading, Strats, and Structuring.
• Advise on conducting the firm's business in line with policies and the many rules and regulatory expectations.
• Assess new business initiatives and coordinate with stakeholders to support governance framework.
• Represent Compliance in cross-divisional projects supporting regulatory requirements.
• Develop, draft and maintain Compliance policies and procedures outlining firm requirements 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.
• Analyze new or amended laws to formulate practical solutions to industry-wide issues.
• Evaluate compliance risks and develop action plans through the firm's Compliance Risk Assessment.

Skills

Regulatory compliance

Regulatory knowledge

Communication skills

Stakeholder coordination

Risk assessment

Education

Bachelor's Degree

Job description

The Goldman Sachs Group, a leading global investment banking and securities firm headquartered in New York, seeks a Global Banking & Markets - Public Compliance officer. The role focuses on preventing, detecting, and mitigating regulatory and reputational risk while upholding conduct standards across sales and trading.

You will partner with Legal, Risk, Finance, Operations, Technology, and Internal Audit to implement controls, training, and governance that strengthen compliance across the