Compliance, GBM Public Compliance -Equities, Custody Solutions, Associate

Position Overview:

The role of a Global Banking & Markets Public Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets Public business 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. This business-aligned compliance role provides both functional coverage to its aligned business Prime Services as well as general compliance for the product areas covered within those businesses, 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 the Global Banking & Markets Equities Custody Solutions businesses including coverage of Custody Solutions Sales, Client Services, Trading Services, Product Development and Operations teams 
• Advise on how to conduct the firm’s business particularly focused on Custody Solutions client activity in a manner that complies with the vast array of rules, regulations, and regulatory expectations
• Assess new business initiatives and coordinate with interested stakeholders to support the firm’s overall governance framework
• Represent Compliance in broad-based 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/Custody Solutions professionals
• Assist with regulatory examinations, audits and inquiries
• Perform oversight of surveillances and programmatic reviews to assess Compliance risks and breaches
• Analyze new or amended laws, rules and regulations to formulate practical solutions to industry-wide issues
• Evaluate compliance risks and assist in developing compliance action plans through the firm’s Compliance Risk Assessment

Qualifications:

• Bachelor’s Degree
• 3+ years of Compliance, Legal, Regulatory or Financial Services industry experience 
• 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.)
• Regulatory experience within the Equities or Custody Solutions based businesses a plus
• Understanding of equities, fixed income market conventions preferred
• Excellent communications skills (oral and written) 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 tasks simultaneously and work under pressure

We Offer Best-In-Class Benefits

Healthcare & Medical Insurance

We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.

Holiday & Vacation Policies

We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.

Financial Wellness & Retirement

We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.

Health Services

We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.

Fitness

To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).

Child Care & Family Care

We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.

Benefits at Goldman Sachs

Read more about the full suite of class-leading benefits our firm has to offer.