Compliance-GBM Public- Equities-New York-Analyst

Global Compliance

Our division prevents, detects, and mitigates compliance, regulatory, and reputational risk across the firm, helping to strengthen the firm’s culture of compliance. Compliance accomplishes this 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 will 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 candidates who possess sound judgment, curiosity, and the ability to adapt to a changing regulatory landscape.

Position Overview

The role of a Global Markets Division Compliance Officer is to assist the firm in preventing, detecting, and mitigating compliance, regulatory, and reputational risk within the Global Markets Division by articulating and maintaining the standards of conduct required of the firm’s businesses, as well as the laws, regulations, and policies governing those businesses. Divisional Compliance provides coverage support to the Division’s functional areas (including sales and trading) and product areas (equities, options, fixed income, etc.), while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.

Responsibilities

• Provide day-to-day line Compliance coverage for Global Markets Division Equities Sales, Trading, and Strats personnel.
• Advise on how to conduct the firm’s business in a manner that complies with the rules, regulations, and regulatory expectations applicable to the firm.
• Assess new business initiatives and coordinate with relevant stakeholders to support the firm’s overall governance framework.
• Represent Compliance in cross-divisional projects supporting regulatory requirements.
• Develop, draft, and maintain Compliance policies and procedures outlining firm requirements, regulations, and best practices.
• Create and implement Compliance training programs for Equities professionals.
• Assist with regulatory examinations, audits, and inquiries.
• Perform look-backs, provide oversight, and manage compliance escalations to assess compliance risks and breaches.
• Analyze new or amended laws, rules, and regulations to formulate practical solutions to industry-wide issues.

Qualifications

• Bachelor’s Degree.
• 0–3 years of Compliance, Legal, Regulatory, or Financial Services industry experience.
• General knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.).
• Understanding of equities markets and products is preferred.
• Excellent oral and written communication skills that demonstrate control-side empowerment.
• Experience leading, managing, and participating in regulatory projects and business initiatives requiring compliance input.
• Proven ability to handle and prioritize multiple projects, and to work under pressure while remaining organized.

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 are committed to fostering and advancing diversity and inclusion in our workplace and beyond by ensuring every individual within our firm has opportunities to grow professionally and personally, from training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings, and mindfulness programs.

We are committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

Salary Range

The expected base salary for this New York, New York, United States-based position is $75,000–$100,000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits

Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings as a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.