Compliance, Federation Compliance - Marketing Compliance, Vice President

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



At Goldman Sachs, the mandate of Global Compliance is to prevent, detect and mitigate compliance, regulatory, and reputational risk across the firm and help to strengthen the firm’s culture of compliance. Compliance accomplishes this mandate 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. Compliance provides advice on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations around the globe. Importantly, Compliance plays a key role in reviewing and effectively challenging transactions and business practices presenting compliance or reputational risks.




Federation Compliance provides compliance coverage to the Operations, Engineering, Finance, Tax, Controllers, Corporate Treasury, Risk, Services, Executive Office and Human Capital Management divisions and functions. This includes:


  • Conducting risk identification, measurement and assessment
  • Monitoring for compliance with laws, rules, regulations and policies
  • Participating in firm responses to regulatory examinations, audits and inquiries
  • Performing surveillance and investigations of business activities
  • Testing the effectiveness of controls
  • Writing policies and procedures
  • Training business teams and divisional Compliance on applicable policies and regulatory requirements
  • Interpreting and applying various regulatory requirements to specific business scenarios
  • Communicating regulatory requirements and firm policy expectations to educate others




In Federation Compliance, you will cover the broader Federation divisions with an initial focus on Compliance coverage of marketing materials created by the Executive Office and key regulatory risks associated with the build-out of a global marketing function.  You will also participate in regional and global initiatives to enact the Global Compliance mandate.  To fulfill this role, you will:

  • Advise, review, make recommendations and approve customer facing information and marketing materials in accordance with applicable rules, policies, procedures and controls established to mitigate compliance risks
  • Advise senior Marketing leaders in connection with campaign development
  • Advise senior Marketing personnel on designing effective processes, workflows and systems to adequately and effectively manage regulatory, reputational and operational risk
  • Analyze marketing and social media-related regulatory changes and enforcement actions, to assess the impact to the Federation, and participate in work to ensure the business is able to support new requirements
  • Coordinate communications and cascade messaging to various divisional Compliance teams on new campaign rollouts and strategic objectives of the Global Marketing team to assess implications to the Compliance program
  • Partner with Engineering teams to enhance workflows for approval, create metrics and reporting as well as address archival of marketing materials
  • Draft and assist in enhancing procedures and policies on the marketing content review process
  • Draft and assist in creation and delivery of training & communications related to the marketing content review process
  • Advise, challenge and influence business teams regarding the application of regulations and firm policies, including personal Compliance matters
  • Assist in responding to regulatory requests and exam deliverables
  • Assess and communicate reputational risk considerations across a range of topics impacting the Federation
  • Identify, investigate and manage compliance issues involving business teams
  • Review surveillance alerts and conduct forensic reviews to monitor for compliance with regulations and firm policies
  • Act as point of contact for examiners, internal auditors and other company team members and assists with action plans created as a result of examinations, audits or internal testing
  • Coordinate with the broader Compliance team on initiatives and projects
  • Provide day-to-day Compliance oversight, including personal Compliance matters




A strong candidate for Federation Compliance will satisfy some of the following criteria:

  • Bachelor’s degree; advanced degree in relevant field (e.g., J.D., LL.M., M.B.A.) is a plus but not required
  • At least 8-10 years of work experience, including 5-8 years as a compliance officer or in a marketing-related risk management role focused on regulatory requirements
  • Experience in a marketing-related compliance role with knowledge of applicable federal and state consumer lending laws and regulations, including, among others, Unfair, Deceptive or Abuse Acts or Practices (UDAAP), Truth in Lending Act (Regulation Z), Regulation P (Privacy), Equal Credit Opportunity Act (Reg B), Fair Credit Reporting Act (Reg V), and the Fair Debt Collections Practices Act
  • Relevant experience in assessing risk and controls for digital media marketing (e.g., social media platforms, email and web-based marketing campaigns) in accordance with applicable rules, regulations, laws and internal governance protocols
  • Knowledge and understanding of the various functions within Compliance and their respective responsibilities
  • Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries
  • Ability to forge trusted partnerships with senior stakeholders, influence outcomes and drive results

A strong candidate for Federation Compliance will possess the following skills:

  • Clear, concise communications skills; able to communicate with impact at senior levels
  • Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
  • Sound judgment, ethics and integrity
  • Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
  • Proficient in assessing technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
  • Team-oriented and supportive of others’ success; comfortable representing a team work product to stakeholders
  • Ability to handle multiple tasks simultaneously and work to tight deadlines, balancing short-term and long-term projects



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