Vice President - 7392020

Job Duties: Vice President with Goldman Sachs & Co. LLC in New York, New York. Provide Compliance oversight and support and provide advice on how to conduct business in a manner that complies with applicable rules, regulations, and regulatory expectations. Develop, draft, and maintain compliance policies and procedures outlining firm requirements, regulations, and best practices. Create and deliver compliance trainings. Review and advise on marketing materials covering products and services. Perform testing, including the review of surveillances and conducting forensic reviews to assess compliance risks and identify potential breaches. Assist with regulatory examinations, audits, and inquiries. Coordinate with the business and other internal stakeholders to assist with new business initiatives and regulatory requirements. Assist with acquisitions of other asset management firms, perform gap analysis of compliance-related policies and procedures to align compliance framework between firms. Act as a liaison between different compliance teams in different regions to align compliance framework. Prepare and assist with regulatory reporting and filings. Analyze incidents and remediate in accordance with policies and procedures.

Job Requirements: Bachelor’s degree (U.S. or foreign equivalent) in Finance, Accounting, International Business and Management, Business Administration, Social Science, or related field. Five (5) years of experience in the job offered or in a related role. Prior experience must include five (5) years in the following: compliance experience within the financial services industry; drafting and updating relevant compliance policies and procedures within the financial services industry; performing compliance testing, including the review of surveillances, conducting forensic reviews and e-communication reviews; performing trade monitoring; working with trade order management systems; handling regulatory filings; handling error and incident management including advice on solution and compensation of clients; managing compliance project on new business initiatives; and assisting in fraud investigations and monitoring including market abuse.

Salary Range: The expected annual base salary for this New York, New York, United States-based position is $133,000 - $280,000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits: Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here: https://www.goldmansachs.com/careers/discover/benefits-summary-US.pdf

©The Goldman Sachs Group, Inc., 2024. All rights reserved. Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity.