Job added in hotlist
Applied job
Contract job
90-day-old-job
part-time-job
Recruiter job
Employer job
Expanded search
Apply online not available
View more jobs in New York City, NY
View more jobs in New York

Job Details

Compliance Securities Compliance Futures Associate

Company name
Goldman Sachs Group, Inc

Location
New York City, NY, United States

Employment Type
Full-Time

Industry
Compliance

Posted on
Nov 14,2019

Valid Through
Feb 27,2020

Apply for this job






Profile

Job Information

Goldman Sachs & Co.

Compliance, Securities Compliance, Futures, Associate

in

New York

New York

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

Job Description

The role of a Securities Division Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Securities Division 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. Divisional Compliance provides coverage support to the Division’s functional (including sales, trading, and capital markets) and product areas (fixed income, equities, options, etc.), while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.

Responsibilities

Cover Securities Division futures business personnel (including sales and trading) and provide advice on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations

Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices

Create and implement Compliance training programs for futures professionals

Perform look-backs, oversight and surveillances to assess compliance risks and breaches

Assist with regulatory examinations, audits and inquiries

Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues

Coordinate with the business, Legal, Technology and other divisions across the firm on new desk initiatives

Qualifications

Bachelor’s Degree

2 - 5 years Compliance, Legal, Regulatory or Financial Services industry experience

Excellent communications skills (oral and written)

Knowledge of general trading rules and regulations (CFTC, NFA, CME Group, ICE US, etc.) preferred

Ability to handle multiple tasks simultaneously 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.© The Goldman Sachs Group, Inc., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

Job ID2019-57786

Schedule TypeFull Time

LevelAssociate

Function(s)Compliance

RegionAmericas

DivisionCompliance

Business UnitSecurities Division Compliance

Employment TypeEmployee

Company info

Goldman Sachs Group, Inc
Website : http://www.goldmansachs.com

Similar Jobs:
Compliance Manager
Location : New York City, NY
Skills Communication Skills 401(k) Certified Anti-Money Laundering Specialist Benefits Vision Insurance Dental Insurance Paid Time Off Health Insurance Stock Options About LeafLink LeafLink is the regulated cannabis industry's lar...
Compliance Manager
Location : New York City, NY
Skills Communication Skills 401(k) Certified Anti-Money Laundering Specialist Benefits Vision Insurance Dental Insurance Paid Time Off Health Insurance Stock Options About LeafLink LeafLink is the regulated cannabis industry's lar...
Americas Risk Management - Business Unit Risk and Compliance Officer, Associate/AVP','10029928-WD','!*!Do you want your voice heard and your actions to count?Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), th...
I found a new job! Thanks for your help.
Thomas B - ,
  • All we do is research jobs.
  • Our team of researchers, programmers, and analysts find you jobs from over 1,000 career pages and other sources
  • Our members get more interviews and jobs than people who use "public job boards"
Shoot for the moon. Even if you miss it, you will land among the stars.
ComplianceCrossing - #1 Job Aggregation and Private Job-Opening Research Service — The Most Quality Jobs Anywhere
ComplianceCrossing is the first job consolidation service in the employment industry to seek to include every job that exists in the world.
Copyright © 2019 ComplianceCrossing - All rights reserved. 168 192