Compliance, FICC – Interest Rate Products, Associate

Pay Competitive

Location New York/New York

Employment type

Full-Time

Req#: 110684

Position Overview:

The role of a Compliance Officer covering Global Banking & Markets – FICC, Interest Rate Products is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the FICC business by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses. Business aligned compliance provides coverage support to the Business Unit’s functional (including sales, trading, and capital markets) and product areas (fixed income, equities, options, etc.),

while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.

Responsibilities:

• Cover Global Banking & Markets – FICC personnel (including sales and trading personnel) and provide advice and oversight on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations
• Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
• Create and implement Compliance training programs
• Perform look-backs, oversight and surveillances to assess compliance risks and breaches
• Assist with regulatory engagement including regulatory examinations, audits and inquiries
• Analyze industry events, new or amended laws, rules, and regulations in order to formulate and implement practical and sustainable solutions to industry-wide issues
• Coordinate with the business, Legal, Technology and other divisions across the firm on new desk initiatives

Qualifications:

• Bachelor’s Degree
• 3+ years Compliance, Legal, Regulatory or Financial Services industry experience
• Excellent communications skills (oral and written)
• Ability to handle multiple tasks simultaneously and work under pressure
• Knowledge of general trading rules and regulations (CFTC, NFA, SEC, FINRA, CME, etc.) preferred
• Experience working with Interest Rate Products, Currencies and Futures preferred

Salary Range
The expected base salary for this New York, New York, United States-based position is $85000-$140000. 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 .

The Goldman Sachs Group, Inc., is an American multinational investment bank and financial services company headquartered in New York City.

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Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility.

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