Analyst

About the Role

The role of a Global Markets officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Markets 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 and trading) and product areas (equities, options, fixed income, etc.), while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.

Key Responsibilities

• Provide day-to-day line Compliance coverage for Global Markets Division Equities Sales, Trading and Strats personnel
• Advise on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations
• Assess new business initiatives and coordinate with interested stakeholders to support the firm’s overall governance framework
• Represent Compliance in broad-based cross-divisional projects supporting regulatory requirements
• Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
• Create and implement Compliance training programs for Equities professionals
• Assist with regulatory examinations, audits and inquiries
• Perform look-backs, provide oversight and manage compliance escalations to assess compliance risks and breaches
• Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues

Requirements & Tech Stack

• Bachelor’s Degree
• Compliance, Legal, Regulatory or Financial Services industry experience
• General knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (e.g., SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE)
• Understanding of equities markets and products is preferred
• Excellent communications skills (oral and written) that demonstrate control-side empowerment
• Experience leading, managing and participating in regulatory projects and business initiatives requiring compliance input.
• Proven ability to handle and prioritize multiple projects and simultaneously work under pressure while remaining organized

About Goldman Sachs

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.