• Compliance, Securities Division - Equities Compliance Officer, Vice President

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


    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 role of the Securities Division - Equities Compliance Officer is to articulate and maintain the standards of conduct required of the Firm's equities businesses as well as the laws, regulations and policies governing these businesses in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. Securities Division - Equities Compliance provides coverage support to the Division's functional (including sales, trading, and capital markets) and product areas (listed and otc equities, options, and other derivatives). Securities Division Compliance also works closely with other Firm departments, such as Controllers, Strategists, Information Technology, Internal Audit and Legal. Principal Responsibilities: Covering sales and trading personnel.




    • Providing advice on general trading rules and regulations and advising on real time trading issues
    • Coordinate with Business, Legal, Technology and/or Strategists on new desk initiatives
    • Developing and drafting compliance policies and procedures and guidelines
    • Creating and implementing compliance training programs
    • Interacting with regulators and industry groups to analyze new rules and rule changes and formulate practical solutions to industry-wide issues
    • Assist with regulatory and internal investigations and audits

    Preferred Qualifications:

    • 5+ years Compliance/Legal/Regulatory background
    • Strong knowledge of general trading rules/regulations  (SEC, FINRA, NYSE, Nasdaq, CBOE, etc.)
    • Experience covering Listed and OTC Derivatives businesses
    • Strong analytical skills required
    • Effective communication skills
    • Ability to handle multiple tasks simultaneously and work under pressure



    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're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.

    We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

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    Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity