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Compliance, GBM Public Compl - FICC, Vice President, New York

at Goldman Sachs

Mid LevelNo visa sponsorshipOther

Posted 44 minutes ago

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Compensation: Not specified
City: New York City
Country: United States

**Compliance Vice President - FICC, New York: Steer GBM's Public Compliances. Manage teams, interpret regulations, collaborate cross-functionally. 10+ years' experience in derivatives, risk management, and compliance software. Expertise in regulatory landscapes (SEC, CFTC, FINRA), familiarity with Compliance technology platforms (e.g., Dealogic, Impala, Dolphin).**

Compliance, GBM Public Compl - FICC, Vice President, New YorkNew York, NY, United States

Opportunity Overview

CORPORATE TITLEVice President

OFFICE LOCATION(S)New York

JOB FUNCTIONBusiness Unit Compliance

DIVISIONCompliance Division

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.

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 businesses (sales and trading) as well as general compliance for the product areas covered within those businesses, while working closely with other firm departments, including Legal, Risk, Operations, Technology, and Internal Audit.

Responsibilities:

Provide day-to-day line compliance coverage for the Global Banking & Markets Interest Rate Products businesses, including coverage of FICC Trading, Sales, and Strats teams
Advise on how to conduct the firm’s business, particularly focused on government bonds, interest rate derivatives, and repos in a manner that complies with the vast array of rules, regulations and regulatory expectations
Escalate significant regulatory, conduct, or reputational risks
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 FICC 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 in order to formulate practical solutions to industry-wide issues
Evaluate compliance risks and assist in developing compliance action plans through the firm's formal risk assessments

Qualifications:

Bachelor’s Degree
6+ years experience, with particular focus on fixed income compliance and/or rates compliance, regulatory advisory, or surveillance functions
Knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, Federal Reserve, and other regulatory requirements)
Strong understanding of government bonds, interest rate swaps, futures, repos, and electronic trading
Excellent communications skills (oral and written) that demonstrate control-side empowerment
Strong judgment and credibility with senior business leaders
Analytical, risk-focused mindset
Proven ability to handle and prioritize multiple tasks simultaneously and work under pressure

ABOUT GOLDMAN SACHS

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

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.

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.

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