Compliance, Securities Division Compliance, Analyst job – Goldman Sachs – New York, NY

Compliance, Securities Division Compliance, Analyst

Goldman Sachs

845 reviews

New York, NY 10282

The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm’s businesses as well as the laws, regulations and policies governing these businesses in order to avoid economic, regulatory and legal liability and risk to reputation. In particular, this Divisional Compliance Officer provides coverage support to the Securities Division Macro businesses. Divisional Compliance also works closely with other Firm departments, such as Legal, Conflicts, Controllers, Credit, Technology, Operations and Internal Audit.

Principal Responsibilities:

  • Provide advice on policies, procedures and regulations that impact firm activities and employee conduct
  • Develop, draft and implement policies and procedures in response to regulatory drivers, other external drivers and business changes
  • Perform risk assessment reviews of business unit for internal risk management and reporting processes
  • Develop and deliver compliance training programs for business unit professionals
  • Participate in regulatory and internal investigations and audits
  • Review potential investments and coordinate with deal teams and outside counsel on investment-related diligence and monitoring

Basic Qualifications • BA/BS required

  • 2+ years related work experience

Preferred Qualifications • Experience in compliance or legal role in investment bank or law firm

  • Ability to communicate confidently and effectively with a diverse audience
  • Quick learner who can adapt well to a fluid regulatory and business environment
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Ability to work independently, but still be a strong team player
  • Strong analytical, organizational and researching skills
  • Must be comfortable addressing problems where there may be no clear cut answer and making decisions based on less than 100% certainty
  • Should be detail oriented and enjoy fact-gathering, whether through documentation review, conducting live interviews or analyzing trade data

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet. © The Goldman Sachs Group, Inc., 2015. All rights reserved.

845 reviews

Goldman Sachs has traditionally possessed the Midas touch in the investment banking world. A global leader in mergers and acquisitions…

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