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Compliance, Securities Division Compliance, Analyst/Associate

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POST DATE 8/19/2016
END DATE 10/13/2016

Goldman Sachs Group, Inc. New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #
Entry Level (0 - 2 years)


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 Equity Sales, Derivative Sales, Cross Asset Sales, Convertible Sales, and Macro Trading. 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

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