Compliance, Securities Division Compliance, Analyst/ Associate

  • Competitive
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • Goldman Sachs USA
  • 21 Aug 18 2018-08-21

Compliance, Securities Division Compliance, Analyst/ Associate

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 The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm's businesses as well as the laws, regulations and policies governing these businesses in order to avoid economic, regulatory and legal liability and risk to reputation. In particular, this Divisional Compliance Officer provides coverage support to the Interest Rate Products sales and trading desks. Divisional Compliance also works closely with other Firm departments, such as Legal, Conflicts, Controllers, Credit, Technology, Operations and Internal Audit.

Principal Responsibilities:

  • Provide advice on policies, procedures and regulations that impact the Interest Rate Product desk and employee conduct
  • Develop, draft and implement policies and procedures in response to regulatory drivers, other external drivers and business changes
  • Perform risk assessment reviews of business unit for internal risk management and reporting processes
  • Develop and deliver compliance training programs for business unit professionals
  • Participate in regulatory and internal investigations and audits
  • Review potential investments and coordinate with deal teams and outside counsel on investment-related diligence and monitoring
Qualifications:
  • BA/BS required
  • 2+ years work experience in securities and derivative products and how these instruments are traded in the market
In order to be successful in this position, candidates must be able to:
  • Keep strategic direction in mind while still working on detailed tasks
  • Work as part of a team, where team members are frequently not within the same reporting lines
  • Work effectively with personnel in different office locations and in different time zones
  • Distill information into clear and succinct communications
  • Navigate differing priorities of stakeholders
  • Managing multiple projects under tight deadlines and delivering solutions in a fast paced work environment.


ABOUT GOLDMAN SACHS 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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.