Tuesday, 11 March 2014


Job id
24804
Location
New York
Full/Part Time
Full-time


Job Summary & Responsibilities

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 equity businesses in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. Divisional Compliance provides coverage support to the Division’s functional (including sales, trading, and capital markets) and product areas (interest rate product, emerging markets, and foreign exchange sales and trading).  Divisional Compliance also works closely with other Firm departments, such as Controllers, Credit, Information Technology, Internal Audit and Legal.


Principal Responsibilities:  

Covering, sales and trading personnel. Responsibilities include:
• Providing advice on general trading rules and regulations and advising on real time trading issues
• Coordinate with Business, Legal, Technology and/or Strategists on new desk initiatives.
• Developing and drafting compliance policies and procedures, outlining Firm policies, regulations and best practices
• Creating and implementing compliance training programs for business unit professionals
• Interacting with regulators and industry groups to analyze new rules and rule changes and formulate practical solutions to industry-wide issues
• Assist with regulatory and internal investigations and audits

Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2014. All rights reserved.

Apply Now

0 comments:

Post a Comment