- Provide day-to-day line Compliance coverage for the Global Banking & Markets - Equity Derivatives business, including coverage of Equities Sales, Trading, Strats, and Structuring teams
- Advise on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations and regulatory expectations
- Assess new business initiatives and coordinate with interested 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 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 in order 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
- Bachelor's Degree
- 6+ years 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.)
- Understanding of cash equities, equity derivatives, and structured products 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
-
Compliance, GBM Public Compliance
2 weeks ago
Goldman Sachs New York, United StatesGlobal 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 accomplishes these through the firm's enterprise-wide compliance risk management pro ...
-
Compliance, GBM Public Compliance Management
2 weeks ago
Goldman Sachs New York, NY, United States Full timeGlobal 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 accomplishes these through the firm's enterprise-wide compliance risk management pr ...
-
Goldman Sachs New York, United StatesGlobal 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 accomplishes these through the firm's enterprise-wide compliance risk management pro ...
-
Goldman Sachs New York, NY, United States Full timeGlobal 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 accomplishes these through the firm's enterprise-wide compliance risk management p ...
-
MMC Corporate New York, United States OTHERWhat can you expect? · As part of Marsh McLennan's Corporate People Partner Team, the People Partner for Legal, Compliance and Public Affairs (LCPA) and MMC's Chief of Staff will provide forward-looking strategic HR counsel to MMC's Senior Vice President and General Counsel, MMC' ...
-
Compliance Officer
1 week ago
NYC Careers Manhattan, United States**Compliance Officer**: · - Apply**Compliance Officer**: · - Agency: OFFICE OF THE COMPTROLLER · - Posted on: 05/15/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: No exam required · Department · Asset Management · - Salary range: $125, $140, The Office ...
-
Ssbci Contract Manager
2 weeks ago
Empire State New York, United States**Applicants MUST submit a cover letter with resume to be considered.**: · - **This position will require in-office presence. Hybrid work schedules may be possible based on specific job duties and consistent with ESD policy.** · **BASIC FUNCTION**: · Manage ESD New York State Sma ...
-
Billing Compliance Auditor
1 week ago
JBFCS New York, United StatesMake a bigger difference · At The Jewish Board, we don't just make a difference - we make a bigger difference as we serve 45,000 New Yorkers every year. Join our dedicated team that's been helping communities across New York City for almost 150 years and see just how big of a dif ...
-
Research & Compliance Associate
6 days ago
NYC Careers New York, United States**Research & Compliance Associate**: · - Apply**Research & Compliance Associate**: · - Agency: BOARD OF CORRECTION · - Posted on: 05/22/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Department · Board Staff · - Salary range: $82 ...
-
Counsel, Regulatory
1 week ago
Via New York, United StatesVia is using technology to transform transportation around the world. From changing a single person's daily commute to reducing humanity's collective environmental footprint — we've got huge goals. · As **Counsel of Regulatory and Compliance**, you will join our dynamic Legal tea ...
-
Business Partner
1 week ago
NYC Health + Hospitals New York, United States**About NYC Health + Hospitals**: · **Empower Every New Yorker — Without Exception — to Live the Healthiest Life Possible** · NYC Health + Hospitals is the largest public health care system in the United States. We provide essential outpatient, inpatient and home-based services t ...
-
Contracts and Compliance Analyst
1 week ago
NYC Careers New York, United States**Contracts and Compliance Analyst**: · - Apply**Contracts and Compliance Analyst**: · - Agency: DEPARTMENT OF SANITATION · - Posted on: 05/18/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: Exam may be required · Department · Division of Commercial ...
-
NYC Careers New York, United States**Deputy Director of Grants Monitoring and Compliance**: · - Apply**Deputy Director of Grants Monitoring and Compliance**: · - Agency: HOUSING PRESERVATION & DVLPMNT · - Posted on: 04/20/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: Exam may be re ...
-
Compliance Specialist
2 weeks ago
New York City Housing Development Corporation (HDC) New York, United States· **Position Summary**: · The Compliance Specialist reports to the Assistant Vice President of Compliance and is responsible for monitoring and evaluating compliance within HDC's Low Income Housing Tax Credit (LIHTC), Tax Exempt Bond (TEB), and Taxable Bond (TB) properties. · ** ...
-
Compliance Data Analyst
1 week ago
NYC Careers Manhattan, United States**Compliance Data Analyst**: · - Apply**Compliance Data Analyst**: · - Agency: NYC HOUSING AUTHORITY · - Posted on: 05/15/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: No exam required · Department · Compl Monitor & Investigations · - Salary range: $5 ...
-
Housekeeping Supervisor
6 days ago
Renaissance Hotel New York, United StatesCity, State: · New York, New York · Hourly Range: $ $27.00 per hour · The HOUSEKEEPING SUPERVISOR is responsible for inspecting guest's rooms and public areas and ensuring all areas of the hotel, including public space areas, guest rooms, and bathrooms, are clean and without defe ...
-
Director, Global Tax Operations
1 week ago
Pfizer New York, United StatesResponsibilities include: 1) Lead all Public Country by Country Reporting external reporting and compliance requirements; 2) Support the global Pillar 2 ("P2") calculation; 3) Develop processes and procedures to further enhance the P2 calculation; 4) Ensure WDesk is complete and ...
-
Compliance Associate
1 week ago
Stone Alliance Group New York, United StatesJoin our client's legal team as a **Compliance Associate** and be part of an incredible journey Our client, a dynamic New York not-for-profit organization, is dedicated to transforming the lives of children and families struggling with mental health and learning disorders. They'r ...
-
Capital Markets Attorney
2 weeks ago
Illapa Search New York, United States**About**: · A well-established global law firm are looking to onboard an Associate to join their Capital Markets practice group. They are looking to grow their team in their New York, New York office location. · The firm is well established with 7 offices worldwide and a platfor ...
-
Program Analyst
2 weeks ago
NYC Careers Manhattan, United States**PROGRAM ANALYST**: · - Apply**PROGRAM ANALYST**: · - Agency: HRA/DEPT OF SOCIAL SERVICES · - Posted on: 05/09/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: Exam may be required · Department · Off Of Qual Asse-Fisc Int NM · - Salary range: $77, $88, ...
Compliance, GBM Public Compliance - New York, United States - Goldman Sachs
Description
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.
As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries.
You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading.
We look for those who possess sound judgment, curiosity, and are able to adapt 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 both functional coverage to its aligned businesses (sales and trading) as well as general compliance for the product areas covered within those businesses, while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.
Responsibilities:
Qualifications:
ABOUT GOLDMAN SACHS
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.
We believe who you are makes you better at what you do.
We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs.
Learn more about our culture, benefits, and people atWe're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process
Learn more:
The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
Salary Range
The expected base salary for this New York, New York, United States-based position is $115000-$ 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 our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience.
A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.