Regulatory Compliance Specialist
5 days ago
At Goldman Sachs, we're committed to excellence in compliance and risk management. Our team of professionals works to prevent, detect, and mitigate compliance, regulatory, and reputational risk across the firm, providing solutions to support the firm's traditional business and growth market strategy.
Responsibilities and Qualifications
As a member of our Compliance Division, you'll work closely with business, legal, and other compliance teams to address various employee-related compliance matters. Key responsibilities include:
- Applying, developing, and implementing procedures, practices, and controls related to compliance disclosures, licensing/registration, and personal trading
- Researching applicable rules and interpreting guidance in areas of compliance disclosures, licensing/registration, and personal trading
- Taking ownership of processes and controls within the team, driving the development of methods to improve processes and/or controls to ensure they're efficient, effective, and relevant
- Facilitating employees in obtaining regulatory registrations/licensing and ensuring their validity on an ongoing basis
- Oversight of the internal and external registration systems, including those with regulators and exchanges
- Maintaining licensing and registration-related records in firm's compliance systems
- Supporting the resolution of issues or concerns related to registration matters
- Working with GS personnel to provide initial and periodic compliance disclosures in a timely manner
- Reviewing personal brokerage account disclosures of GS personnel, identifying areas of risk, and proactively providing support in addressing queries
- Escalating situations, as appropriate, to relevant divisional compliance officers and business unit managers for any non-compliance
- Executing and managing global ad-hoc projects based on compliance or business requirements to enhance the compliance of the firm
Experience/Skills/Systems Requirements
We're looking for individuals with strong communications skills, both written and oral, as well as analytical and risk assessment skills. You should be able to demonstrate resiliency and creativity under pressure, manage time-sensitive demands from competing stakeholders, and be detail-oriented. Experience in financial, legal, accounting, or regulatory areas is preferred.
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