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.
The Strats Compliance team at Goldman Sachs covers all asset classes across Equities and FICC to:
This is Compliance Officer role within the Strats Compliance team to cover Cash Equities Electronic Trading businesses. A successful individual will bring deep expertise of the rules and regulations related to the U.S. Cash Equities markets, including FINRA, SEC, NYSE rules and market access regulations. The candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision.
Responsibilities include working with the trading, legal, and engineering groups across the Securities Division trading organization to provide Compliance support for Cash Equities Electronic Trading businesses.
Skills / Experience
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.
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