Job Description

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

Business Supported: Global Investment Research Division (GIR).  From macroeconomic forecasts to individual stock analysis, GIR develops tools and insights to help shape investment strategies for clients and the firm. GIR analysts work on client-focused research in the equity, fixed-income, currency, and commodities markets, analyzing data that enters markets around the world each day to identify game-changing insights.

HOW YOU WILL FULFILL YOUR POTENTIAL

GIR Compliance officers work closely on a daily basis with research professionals across a broad spectrum of coverage areas to advise on rules and laws impacting research and related areas of the firm. GIR Compliance officers must display initiative, creativity and drive, along with the ability to work closely and comfortably with a diverse group of research professionals, in order to effectively assist the firm in preventing, detecting and mitigating compliance, regulatory and reputational risk. The Americas GIR Compliance team covers GIR professionals in offices across the United States, including New York, Dallas, Houston, San Franciso, and Boston, as well as the firm’s office in Sao Paolo, Brazil. The global GIR Compliance team also collaborates closely across regions with team members located in London, Hong Kong, Shanghai, Tokyo, Singapore, India, and Sydney.

• Advisory and Compliance Oversight. Provide advice to the business on regulatory and reputational related matters, and act as a resource on a daily basis for compliance and policy issues.   
• Policies and Procedures. Ensure that the division has appropriate policies and procedures in place.  Assess, design and drive completion of necessary updates and new policies. Work closely with Legal and the business to fulfill requirements.
• Regulatory Matters. Assist with regulatory examinations, audits and inquiries and analyze regulatory developments in order to formulate practical solutions to industry-wide issues
• Training. Design, execute and deliver live and online training on divisional policies and procedures.
• Controls/Surveillance/Testing.  Create controls, develop surveillance and monitor testing of policies and procedures.
• New Business and Initiatives.  Coordinate with the business, Legal, Technology and other divisions across the firm on new initiatives. 

REQUIRED EXPERIENCE/SKILLS

• Bachelor’s degree or higher
• Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
• Inquisitive, quick learner who can adapt well to a fluid regulatory and business environment
• Ability to handle multiple tasks simultaneously, and to work effectively in a team
• Organized, detail-oriented, enthusiastic and professional
• Strong project management skills

Salary Range

The expected base salary for this New York, New York, United States-based position is $75000-$100000. 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 it is 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.

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