Compliance, Strats Compliance Division, Electronic Trading Compliance, Associate / Vice President

Location(s) US-NY-New York
Job ID
Schedule Type
Full Time
Associate, Vice President/Executive Director
Business Unit
Electronic Trading Compliance
Employment Type




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 program. 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.


Global Investment Bank and Securities firm is looking to recruit within the Electronic Trading Compliance Group of its Compliance Division.


Department Summary


The Electronic Trading Compliance Group within Global Compliance is a niche team that plays a central role and is responsible for helping the Firm to manage its regulatory, operational and reputational risk related to electronic trading activities. This is a global team that works across U.S., EMEA, and Asia and covers all electronic trading products in the Fixed Income, Equities, Commodities, Forex and Futures markets.


Role Description


The Electronic Trading Compliance officer will provide advice to traders and sales persons regarding regulatory/compliance requirements, with a focus on technology and electronic trading risks.


Responsibilities include working with the various groups within Compliance Division to:

  • Understand e-trading systems, strategies and market structures to identify risks
  • Provide technical expertise to implement automated controls to manage operational, financial and regulatory risks
  • Provide thought leadership to review, analyze impact of and implement controls for new e-trading regulatory requirements (e.g., MiFID II, FX Code of Conduct)
  • Work across electronic trading/ sales desks, strats and technology groups to provide technical Compliance support
  • Coordinate, recommend, and execute plans to address potential risks, fulfill regulatory obligations and promote leading control practices
  • Draft and review compliance policies and procedures and written supervisory procedures
  • Assist in the preparation of responses to regulatory inquiries
  • Prepare and deliver applicable compliance training


  • An undergraduate degree is required
  • Educational background in Finance and computer science is preferred
  • Working knowledge of programming languages (C/C++, Java, etc.)
  • At least 3+ years of relevant work experience, preferably in Capital Markets technology, trading or risk management
  • Strong written and verbal communication skills and an ability to work well under the pressures of a trading environment
  • Ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner


The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

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