• Compliance, Securities Compliance, Associate

    Location(s) US-NY-New York
    Job ID
    2019-57657
    Schedule Type
    Full Time
    Level
    Associate
    Function(s)
    Compliance
    Region
    Americas
    Division
    Compliance
    Business Unit
    Securities Division Compliance
    Employment Type
    Employee
  • MORE ABOUT THIS JOB

    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. 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. 

     

    RESPONSIBILITIES AND QUALIFICATIONS

    Responsibilities

    • Cover Securities Division personnel (including sales and trading personnel) and provide advice on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations
    • Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
    • Create and implement Compliance training programs for Equities professionals
    • Perform look-backs, oversight and surveillances to assess compliance risks and breaches
    • Assist with regulatory examinations, audits and inquiries
    • Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
    • Coordinate with the business, Legal, Technology and other divisions across the firm on new desk initiatives

    Qualifications

    • Bachelor’s Degree
    • 0 - 6 years Compliance, Legal, Regulatory or Financial Services industry experience
    • Excellent communications skills (oral and written)
    • Knowledge of general trading rules and regulations (SEC, FINRA, NYSE, Nasdaq, CBOE, ISE, etc.) preferred
    • Ability to handle multiple tasks simultaneously and work under pressure

    ABOUT GOLDMAN SACHS

    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. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

    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 at GS.com/careers.

    We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html



    © The Goldman Sachs Group, Inc., 2020. All rights reserved.
    Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity