Goldman Sachs
Compliance, GBM Public Compliance- Equities: Equity Derivatives, Vice President,
Goldman Sachs, New York, New York, us, 10261
Overview
Compliance, GBM Public Compliance- Equities: Equity Derivatives, Vice President, NY Global Compliance
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance provides enterprise-wide risk management as part of the firm’s second line of defense, assessing risk, monitoring for regulatory changes, designing controls, procedures and training, conducting independent testing, investigating breaches, and leading responses to regulatory examinations and inquiries. You’ll be part of a team with diverse backgrounds and experience, and we look for judgment, curiosity, and adaptability to a changing regulatory landscape.
Position Overview The role of a Global Banking & Markets- Public Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets-Public business by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses. This business-aligned compliance role provides functional coverage to its aligned business Equity Derivatives Flow Volatility as well as general compliance for the product areas covered within those businesses, while working closely with Legal, Risk, Finance, Operations, Technology, and Internal Audit.
Responsibilities
Provide day-to-day line Compliance coverage for the Global Banking & Markets Equities Derivatives Flow Volatility businesses including coverage of Derivatives Sales, Cross Asset Sales, Convertibles Sales and Trading, Micro Derivatives Trading, Corporate Derivatives and Margin Loans Trading, Index Derivatives Trading, Emerging Markets Trading, Equity Derivatives Flow Volatility Strats, and Electronic Options teams
Advise on how to conduct the firm’s business, particularly focused on Equity Derivatives and options activity in a manner that complies with Firm policies and the rules, regulations and regulatory expectations
Assess new business initiatives and coordinate with stakeholders to support the firm’s governance framework
Represent Compliance in 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
Oversight of surveillances and programmatic reviews to assess Compliance risks and breaches
Analyze new or amended laws, rules and regulations to formulate practical solutions to industry-wide issues
Evaluate compliance risks and assist in developing compliance action plans
Qualifications
Bachelor’s Degree
6+ years of 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 Equity Derivatives-based businesses is a plus
Understanding of equities and options market conventions preferred
Excellent communications skills (oral and written) that demonstrate control-side empowerment
Experience leading, managing and participating in regulatory projects requiring compliance input
Ability to handle and prioritize multiple tasks simultaneously and work under pressure
About Goldman Sachs At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. We are committed to fostering diversity and inclusion in our workplace, with opportunities for growth and development across our firm. Learn more about our culture, benefits, and people at GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
Salary and Benefits The expected base salary for this New York, New York, United States-based position is $100000-$250000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end. Goldman Sachs is committed to providing competitive benefits and wellness offerings to eligible employees.
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Compliance, GBM Public Compliance- Equities: Equity Derivatives, Vice President, NY Global Compliance
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance provides enterprise-wide risk management as part of the firm’s second line of defense, assessing risk, monitoring for regulatory changes, designing controls, procedures and training, conducting independent testing, investigating breaches, and leading responses to regulatory examinations and inquiries. You’ll be part of a team with diverse backgrounds and experience, and we look for judgment, curiosity, and adaptability to a changing regulatory landscape.
Position Overview The role of a Global Banking & Markets- Public Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets-Public business by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses. This business-aligned compliance role provides functional coverage to its aligned business Equity Derivatives Flow Volatility as well as general compliance for the product areas covered within those businesses, while working closely with Legal, Risk, Finance, Operations, Technology, and Internal Audit.
Responsibilities
Provide day-to-day line Compliance coverage for the Global Banking & Markets Equities Derivatives Flow Volatility businesses including coverage of Derivatives Sales, Cross Asset Sales, Convertibles Sales and Trading, Micro Derivatives Trading, Corporate Derivatives and Margin Loans Trading, Index Derivatives Trading, Emerging Markets Trading, Equity Derivatives Flow Volatility Strats, and Electronic Options teams
Advise on how to conduct the firm’s business, particularly focused on Equity Derivatives and options activity in a manner that complies with Firm policies and the rules, regulations and regulatory expectations
Assess new business initiatives and coordinate with stakeholders to support the firm’s governance framework
Represent Compliance in 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
Oversight of surveillances and programmatic reviews to assess Compliance risks and breaches
Analyze new or amended laws, rules and regulations to formulate practical solutions to industry-wide issues
Evaluate compliance risks and assist in developing compliance action plans
Qualifications
Bachelor’s Degree
6+ years of 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 Equity Derivatives-based businesses is a plus
Understanding of equities and options market conventions preferred
Excellent communications skills (oral and written) that demonstrate control-side empowerment
Experience leading, managing and participating in regulatory projects requiring compliance input
Ability to handle and prioritize multiple tasks simultaneously and work under pressure
About Goldman Sachs At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. We are committed to fostering diversity and inclusion in our workplace, with opportunities for growth and development across our firm. Learn more about our culture, benefits, and people at GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
The Goldman Sachs Group, Inc., 2023. All rights reserved. Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
Salary and Benefits The expected base salary for this New York, New York, United States-based position is $100000-$250000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end. Goldman Sachs is committed to providing competitive benefits and wellness offerings to eligible employees.
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