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About the Role
The Global Banking & Markets Public Compliance Officer role assists the firm in preventing, detecting, and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets Public business. This role provides functional coverage to its aligned business Prime Services and general compliance for product areas, while collaborating with other firm departments.
Responsibilities
- Provide day-to-day line Compliance coverage for the Global Banking & Markets Equities Custody Solutions businesses, including coverage of Custody Solutions Sales, Client Services, Trading Services, Product Development and Operations teams.
- Advise on conducting the firm’s business, particularly focused on Custody Solutions client activity, in a manner that complies with rules, regulations, and regulatory expectations.
- Assess new business initiatives and coordinate with stakeholders to support the firm’s overall governance framework.
- Represent Compliance in broad-based 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/Custody Solutions professionals.
- Assist with regulatory examinations, audits, and inquiries.
- Perform 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 through the firm’s Compliance Risk Assessment.
Requirements
- Bachelor’s Degree
- 3+ 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 the Equities or Custody Solutions based businesses a plus
- Understanding of equities, fixed income market conventions preferred
- Excellent communications skills (oral and written) that demonstrate control-side empowerment
- Experience leading, managing, and participating in regulatory projects and business initiatives requiring compliance input.
- Proven ability to handle and prioritize multiple tasks simultaneously and work under pressure
Skills
- Compliance
- Legal
- Regulatory
- Financial Services
- Broker-dealer regulations
- Swap dealer regulations
- SEC regulations
- CFTC regulations
- FINRA regulations
- NFA regulations
- NYSE regulations
- Nasdaq regulations
- CBOE regulations
- ISE regulations
- Equities
- Custody Solutions
- Fixed income market conventions
- Communication skills
- Project management
- Business initiative participation
- Risk assessment
- Policy and procedure development
- Training program development
- Regulatory examination support
- Audit support
- Inquiry support
- Surveillance oversight
- Programmatic review analysis
- Law analysis
- Rule analysis
- Regulation analysis
Location
- New York
Work Type
- Full-time
Experience Level
- 3+ years
Education Level
- Bachelor's Degree
Benefits
- Training and development opportunities
- Firmwide networks
- Wellness programs
- Personal finance offerings
- Mindfulness programs
About the Company
- Goldman Sachs is a leading global investment banking, securities and investment management firm founded in 1869.
- The firm commits its people, capital, and ideas to help clients, shareholders, and communities grow.
- Headquartered in New York, with offices around the world.
- Committed to fostering and advancing diversity and inclusion.
- Provides opportunities for professional and personal growth.
Equal Opportunity
- 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.
- Committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.