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.
BUSINESS UNIT AND ROLE OVERVIEW
Federation Compliance provides compliance coverage to the Operations, Technology, Finance, Risk, Services and Human Capital Management divisions (“the Federation”). This role will specialize in coverage of Americas non-financial regulatory reporting requirements (e.g., FINRA Electronic Bluesheets, OATS, MSRB, Short Interest reporting) This role includes:
ROLE AND RESPONSIBILITIES
As part of the Americas Federation Compliance, you will cover the Federation groups located in the Americas office locations (New York/New Jersey, Salt Lake City, Dallas), with primary responsibility for compliance coverage of FINRA and SEC non-financial regulatory reporting requirements (e.g., FINRA Electronic Bluesheets, OATS, MSRB, Short Interest reporting). You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and Business Unit priorities. To fulfill this role and responsibilities, you will:
QUALIFICATIONS AND SKILLS
A strong candidate for Fenderation Compliance will satisfy the following criteria:
A strong candidate for Federation Compliance will possess the following skills:
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., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.