Vice President - COMP4694338

Location(s) US-NY-New York
Job ID
Schedule Type
Full Time
Vice President
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. Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training. Perform surveillance reviews and discuss exceptions with Business Personnel and Compliance Officers. Monitor to ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective. Identify enhancements to existing controls. Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results. Participate in periodic risk assessments. Develop and/or enhance systematic processes for escalating issues. Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions. Coordinate issues, findings and practices with colleagues across regions and/or divisions.


Job Requirements: Bachelor’s degree (U.S. or foreign equivalent) in Business Administration, Finance, Legal Studies, Human Resources, Management or a related business discipline. Six (6) years of experience in the offered position or a related financial services role. Prior experience must include at least six (6) years with: Applying experience in compliance, surveillance, or internal audit within the financial service industry; Applying expertise in securities markets, businesses, products, as well as securities and exchange rules and regulations, particularly as they pertain to sales and trading in products such as equities, derivatives, fixed income, commodities and currencies; Applying knowledge of regulatory framework in order to proactively identify risks and propose solutions; Applying knowledge of detection logic and surveillance development; Identifying control risks and proposing solutions; Applying ability to work independently, and act as project manager, with the ability to handle multiple tasks simultaneously and work under tight deadlines; Communicating (both written and verbal) recommendations related to compliance controls to management and stakeholders; Applying ability to work with a variety of senior and junior colleagues and build working relationships that allow for deepened understanding of business requirements; Applying ability to effectively prioritize multiple objectives, and effectively manage stakeholders’ expectations; and Demonstrating analytical and problem-solving skills with the ability to exercise sound and balanced judgment.



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