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Compliance Division, MBD Compliance, Associate/ Vice President
Goldman Sachs USA
July 4, 2018
New York, New York
MORE ABOUT THIS JOB 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.
The role of the Divisional Compliance Officer is to articulate, develop and maintain the standards of conduct required of the Firm's businesses as well as the laws, regulations and policies governing the Division in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. The role requires close coordination with various Compliance functions, as well as Legal and other areas of the firm.
RESPONSIBILITIES AND QUALIFICATIONS Job Summary: Provide compliance coverage for the Merchant Banking Division in New York
Principal Responsibilities include:
Provide daily advice to the business units on investing and lending activities, fundraising, Investment Adviser Act requirements, and reputational risk. Develop and implement compliance initiatives to comply with new rules and regulations.
Review and advise on product marketing materials.
Actively manage regulatory and legal risks.
Create and deliver training for business.
Draft and maintain firm policies and procedures.
Identify potential areas or topics for deep dive reviews and monitoring and conduct those reviews accordingly.
Must be a proactive team player, with a strong sense of urgency and the ability to get along with others.
Must understand basic corporate finance concepts.
Must work well under pressure and have a positive, hands-on, "can do" attitude.
Self-starter with the ability to work effectively with minimum supervision.
Excellent multi-tasking abilities required. Ability to implement solutions is critical.
This is a job for a generalist. Must be comfortable issue-spotting, working with subject matter experts and leading teams to resolution.
JD or MBA or Bachelor's degree with sufficient experience in compliance, legal, securities industry.
Experience with the Investment Advisers Act and investment fund marketing rules and requirements is desired
ABOUT GOLDMAN SACHS The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.