RESPONSIBILITIES AND QUALIFICATIONS
Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees’ outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees’ personal trading activities.
- With legal and compliance professionals, evaluate regulatory disclosure requirements and assist in making regulatory filings
- Work with employees to evaluate employee disclosures
- Assign and coordinate the global review of potentially reportable developments
- Provide guidance to internal clients on the appropriate interpretation and application of firm policies and procedures
- Support the registrations function of GCES
- Ensure that the firm’s licensed professionals make required disclosures
- Escalate situations, as appropriate, to legal professionals, relevant divisional compliance officers and business unit managers
- Education: J.D. highly preferred
- Two years of compliance or legal-related experience preferred
- Financial services experience desirable
- Superior analytical, organizational, and project management skills
- General understanding of the current regulatory environment and financial markets and/or securities regulations and rules
- Ability to work as a member of a team in a high-pressure, fast-paced environment
- Excellent verbal and written communication skills
- Ability to multi-task
- Strong proficiency in Microsoft Excel, Power Point and Word a plus
ABOUT GOLDMAN SACHS
ABOUT GOLDMAN SACHS
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We’re committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html