Goldman Sachs · 3 months ago
Compliance, GBM Public Compliance- Equities: Equity Derivatives, Vice President, NY
New York, New York, United States
Full-time
Onsite
Mid, Senior Level
6+ years expGoldman Sachs is a leading global investment banking, securities and investment management firm headquartered in New York. They are seeking a Vice President for their Global Banking & Markets- Public Compliance team to assist in preventing, detecting, and mitigating compliance, regulatory, and reputational risk within the Equity Derivatives business.
BankingFinanceFinancial ServicesVenture Capital
Responsibilities
Provide day-to-day line Compliance coverage for the Global Banking & Markets Equities Derivatives Flow Volatility businesses including coverage of Derivatives Sales, Cross Asset Sales, Convertibles Sales and Trading, Micro Derivatives Trading, Corporate Derivatives and Margin Loans Trading, Index Derivatives Trading, Emerging Markets Trading, Equity Derivatives Flow Volatility Strats, and Electronic Options teams
Advise on how to conduct the firm’s business, particularly focused on Equity Derivatives and options activity in a manner that complies with Firm policies and the vast array of rules, regulations and regulatory expectations
Assess new business initiatives and coordinate with interested stakeholders to support the firm’s overall governance framework
Represent Compliance in broad-based cross-divisional projects supporting regulatory requirements
Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
Create and implement Compliance training programs for Equities professionals
Assist with regulatory examinations, audits and inquiries
Perform oversight of surveillances and programmatic reviews to assess Compliance risks and breaches
Analyze new or amended laws, rules and regulations to formulate practical solutions to industry-wide issues
Evaluate compliance risks and assist in developing compliance action plans through the firm’s annual Compliance Risk Assessment, Market Conduct Risk Assessment, and Market Abuse Risk Assessment
Qualification
Required
Bachelor's Degree
6+ years Compliance, Legal, Regulatory or Financial Services industry experience
Knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, NYSE, Nasdaq, CBOE, ISE, etc.)
Excellent communications skills (oral and written) that demonstrate control-side empowerment
Experience leading, managing and participating in regulatory projects and business initiatives requiring compliance input
Proven ability to handle and prioritize multiple tasks simultaneously and work under pressure
Preferred
Regulatory experience within the Equity Derivatives based businesses a plus
Understanding of equities and options market conventions preferred
Company
Goldman Sachs
Goldman Sachs is a multinational financial services firm providing securities, investment banking, and management services.
10001+ employees
H1B Sponsorship
Goldman Sachs has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (1954)
2024 (1685)
2023 (2060)
2022 (2326)
2021 (2258)
2020 (1572)
Funding
Current Stage
Public CompanyTotal Funding
$6B2025-04-23Post Ipo Debt· $6B
2012-06-05Post Ipo Equity
1999-05-14IPO
Leadership Team
David M. Solomon
Chair and Chief Executive Officer
John Waldron
President and Chief Operating Officer
Recent News
2026-01-17
2026-01-17
Investing.com
2026-01-17
Company data provided by crunchbase