Compliance Division, Securities Division Compliance, Associate / Vice President recruitment

Securities Division Compliance

The role of Securities Division Compliance 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 assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation

This role in Securities Division Compliance will provide coverage support to the Securities Division’s functional (including sales and trading) and FICC product (Commodities, FX, Fixed Income Securities, OTC derivatives) areas.  The role also works closely with other Firm support functions including Legal, Finance, Operations, Credit Risk and Information Technology.

Responsibilities:

The candidate’s responsibilities would include:

•Providing advice on individual transactions, new products and business initiatives
•Marketing material reviews, approval requests such as system access, customer valuations requests
•Conduct trade surveillance on sales and trading activities to ensure compliance with appropriate rules, regulations firm policies
•Conducting counterparty due diligence to ensure compliance with Firm policies regarding capacity, authority and suitability
•Creating and implementing compliance training programs for business unit professionals
•Developing policies, procedures and best practices for each business unit
•Keeping up-to-date with relevant regulatory/rule changes including the analysis and implementation of such regulatory/rule changes.
•Participating in regulatory and internal investigations and audits

Requirements:
•5-7 years compliance, legal, accounting or business (or other relevant) experience involving the securities or financial businesses
•Good interpersonal skills.  A team player who is able to prioritize in a fast moving, changing environment and have a desire to work in a trading floor environment
•Excellent communication skills in English; fluency in other Asian languages highly preferred
•Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
•Ability to handle multiple tasks simultaneously and work under pressure

Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2011. All rights reserved.