Compliance, GBM Public - Electronic Trading Compliance, Vice President, New York

Compliance, GBM Public - Electronic Trading Compliance, Vice President, New York location_on New York, NY, United States 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

The role challenges the individuals to become subject matter experts in electronic trading activities (including algorithms) across asset classes and markets; to understand business and regulatory concerns and devise control mechanisms to improve our control structure; and review and oversee an appropriate governance framework within the program. This role requires the individual to be self-motivated, an excellent communicator, a consensus builder and able to apply sound judgment to drive solutions. This individual's responsibilities will include Provide subject matter expertise on governance of market conduct, operational and regulatory risk related to algorithmic and other electronic trading activities Perform risk‑based assessments of electronic trading activities as it relates to market access Perform risk‑based assessment of algorithmic trading logic as it relates to regulatory risk Advance governance and control frameworks to manage risks in electronic trading Collaborate with business, legal and compliance colleagues globally to implement governance and controls Evaluate risks and provide compliance advice to business personnel with regards to the rules, regulations, internal policies and appropriate risk mitigation mechanisms Track and manage pipeline for compliance reviews Actively monitor regulatory developments and trends, and assist with the interpretation and implementation of new rules/regulations and related controls Coordinate responses to regulatory reviews and inquiries Help develop and deliver training as part of ongoing Compliance training program A successful individual will bring deep expertise in electronic trading with knowledge of market structure. The candidate must demonstrate high level of initiative, ability to effectively probe and analyze complex situations, and apply sound judgment to resolve issues in a timely manner with minimal supervision.

SKILLS / EXPERIENCE

An undergraduate degree is required Knowledge of broker‑dealer regulatory compliance including FINRA, NYSE and SEC regulations At least 3 or more years of relevant work experience preferably in risk management, electronic trading product management or trading technology Background in Financial Engineering, Computer Science, Engineering, or similar degree is a plus, but not required Background in Equities and/or Compliance considerations with trading algorithms is a plus, but not required Strong written and verbal communication skills and an ability to work well under the pressures of trading environment Ability to engage with senior management across a range of functions Ability to work independently and apply judgment to resolve issues in a timely manner

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. 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. Benefits at Goldman Sachs Healthcare & Medical Insurance: We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short‑term disability, long‑term disability, life, accidental death, labor accident and business travel accident insurance. Vacation and Time Off: 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 Services: 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). Child Care & Family Care: 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. Read more about the full suite of class‑leading benefits our firm has to offer. #J-18808-Ljbffr Goldman Sachs Bank AG