• Vice President- COMP12318HDSDC

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

    Vice President with Goldman Sachs & Co. LLC in New York, NY.


    Work Schedule: 40 hours per week (9:00 a.m. to 6:00 p.m.)


    Duties: Vice President with Goldman Sachs & Co. LLC in New York, NY. Compliance Officer supporting the Securities Division Interest Rate Trading businesses in the NY office. Actively manage the regulatory and legal risks of the Interest Rate Trading business, which includes trading and engineering personnel and associated sales desks marketing and selling these products, across the following desks: Government (nominal and inflation), Agency, Swaps, Options, Short Term Macro, and Repo. Provide advice on policies, procedures, and regulations that impact firm activities and employee conduct. Develop, draft, and implement policies and procedures in response to regulatory drivers, other external drivers and business changes. Perform risk assessment reviews of business unit for internal risk management and reporting processes. Develop and deliver compliance training programs for business unit professionals. Participate in regulatory and internal investigations and audits. Review and assist in the design of surveillance reports. Act as subject matter expert on Commodity Futures Trading Commission (CFTC) Swap Dealer regulations, US Treasury regulations related to the primary issuance and sale of US treasury securities, selling group agreements with US Federal Agencies, futures exchange rules, SEC, FINRA rules, Markets in Financial Instruments Directive II (MIFID II), European Market Infrastructure Regulation (EMIR), EU Market Abuse Regime (MAR), Canada Mandatory OTC Derivatives Clearing Obligation and Canada Exempt Market Dealer (EMD) Rule. Responsible for the Primary Dealer compliance program, which includes responsibility to supervise the semi-annual disclosures and annual certification, maintaining policies and procedures, training business personnel, monitoring auction activities, and coordinating with US Treasury and Federal Reserve Bank of New York (FRBNY) compliance personnel. Review and assess risks and controls associated with electronic trading platforms, including annual review and CEO certification on risk management controls and supervisory procedures set forth to comply with Rule 15c3-5. Develop and execute Compliance Reviews and Investigations for US FICC Macro Desks, which include the desks: Interest Rates, Foreign Exchange, Emerging Markets, Futures, Commodities, and Structure Finance Investment and lending.


    Job Requirements: Bachelor’s degree program (U.S. or foreign equivalent) in Business, Finance, Law/Legal Studies, or a related field. Five (5) years of experience in the job offered or in a related role. Must have five (5) years of experience with: managing multiple projects under tight deadlines and delivering solutions in a fast paced work environment; securities and derivative products and how these instruments are traded in the market; rules and regulations applicable to interest rate derivative and security products; assessing and articulating regulatory requirements to stakeholders; interacting and providing advice to business personnel and engaging in real-time issue resolution; reviewing securities and derivatives transactions and assessing an array of compliance considerations; conducting internal reviews and investigations designed to identify activities that are inconsistent with regulations or firm policies, or that pose reputational risks; identifying and escalating risk and control weaknesses as well as proposing and implementing improvements and solutions to mitigate compliance risks; developing, enhancing and implementing compliance policies and procedures; assisting in interactions with regulators, including responses to examinations, audits and inquiries; planning and implementing compliance training programs for business personnel.


    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.

    © The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.