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.
The Regulatory Reporting Group, part of Global Compliance's Regulatory Practice Group, is primarily responsible for helping to reduce the firm's regulatory and reputational risk relating to the firm's beneficial ownership of equity securities and certain business activity reporting in the Americas. The team focuses on managing the firm's equity holdings in connection with various regulatory thresholds; reporting of certain business activities including as broker-dealer, swap dealer or Futures Commission Merchant; working with Legal, Divisional Compliance and the securities business on matters relating to regulatory restrictions. The team is located in the Jersey City office, with a presence in the Salt Lake City office. An opportunity exists within the team for a vice president. The individual will work closely with Legal, Divisional Compliance and other members of the Regulatory Reporting Group in all aspects of ensuring the accuracy of the firm's registration filings. The responsibilities include interpreting securities laws regulations, reviewing disciplinary matters for purposes of reporting to various regulators, drafting language, advising other team members on requirements, drafting and maintaining policies and procedures.
RESPONSIBILITIES AND QUALIFICATIONS Qualifications - Possess a general understanding of the current regulatory environment and financial markets - Detailed-oriented, and with a strong commitment to excellence - Work independently and exercise sound and balanced judgement - Ability to multi-task and work under pressure
ABOUT GOLDMAN SACHS 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.