Compliance, GBM Public Compliance- Equities, Vice President, New York City

Compliance, GBM Public Compliance- Equities, Vice President, New York City New York, NY, United States Job Description 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. Position Overview: The role of a Global Banking & Markets- Public Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets-Public business 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. This Business-Aligned Compliance role provides both functional coverage to its aligned businesses (sales and trading) as well as general compliance for the product areas covered within those businesses, while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit. Responsibilities: Provide day-to-day line Compliance coverage for the Global Banking & Markets – Public businesses, including coverage of Equities Sales, Trading, Strats, and Structuring teams Advise on how to conduct the firm’s business in a manner that complies with firm policies along with the vast array of rules, regulations and regulatory expectations Assess new business initiatives and coordinate with stakeholders to support the firm’s overall governance framework Represent Compliance in 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 oversight of surveillances and programmatic reviews to assess Compliance risks and breaches Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues Evaluate compliance risks and assist in developing compliance action plans through the firm’s Compliance Risk Assessment Qualifications: Bachelor’s Degree 6+ years Compliance, Legal, Regulatory or Financial Services industry experience Knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.) Understanding of equities market, specifically cash equities, equity derivatives and structured products conventions 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 tasks simultaneously and work under pressure

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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. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers. We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law. Job Info Job Category Vice President Posting Date 09/01/2026, 03:39 PM Locations New York, NY, United States Healthcare & Medical Services We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year. Financial Wellness & Retirement We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities. Health We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices. Fitness To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount). We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available. Benefits at Goldman Sachs Read more about the full suite of class-leading benefits our firm has to offer. Learn More #J-18808-Ljbffr Goldman Sachs Group, Inc.