Vice President w/ Goldman Sachs & Co. LLC in New York, NY. Compliance Officer supporting the Securities Division Interest Rate Trading businesses in the NY office. Actively manage the regulatory and legal risks of the Interest Rate Trading business, which includes trading and engineering personnel and associated sales desks marketing and selling these products, across the following desks: Government (nominal and inflation), Agency, Swaps, Options, Short Term Macro, and Repo. Requires: Bachelor’s degree program (U.S. or foreign equivalent) in Business, Finance, Law/Legal Studies, or a related field. Five (5) years of experience in the job offered or in a related role. Must have five (5) years of experience with: managing multiple projects under tight deadlines and delivering solutions in a fast paced work environment; securities and derivative products and how these instruments are traded in the market; rules and regulations applicable to interest rate derivative and security products; assessing and articulating regulatory requirements to stakeholders; interacting and providing advice to business personnel and engaging in real-time issue resolution; reviewing securities and derivatives transactions and assessing an array of compliance considerations; conducting internal reviews and investigations designed to identify activities that are inconsistent with regulations or firm policies, or that pose reputational risks; identifying and escalating risk and control weaknesses as well as proposing and implementing improvements and solutions to mitigate compliance risks; developing, enhancing and implementing compliance policies and procedures; assisting in interactions with regulators, including responses to examinations, audits and inquiries; planning and implementing compliance training programs for business personnel. Job Code: COMP12318HDSDC.
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