Compliance Specialist
3 weeks ago
Join Goldman Sachs, a leading global investment banking, securities and investment management firm, as a Compliance Specialist - Global Markets. In this role, you will be part of a team that prevents, detects and mitigates compliance, regulatory and reputational risk across the firm.
About the RoleThis is a trading floor-based compliance function providing real-time support to both the Equities and FICC business. The role involves driving forward strategic business initiatives and projects, including:
- Primary coverage focused on the Equities and FICC sales and trading businesses in their day-to-day business operations, new products and market initiatives;
- Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in Australia in order to assist the firm in avoiding regulatory/legal liability and reputational risk;
- Monitor changes in laws and regulations affecting the businesses, and implementing a compliance program to ensure compliance;
- Formulate appropriate policies, training, testing and monitoring and advisory coverage for the business;
- Devise and implement strategic solutions with senior compliance management and other control side departments;
- Handle regulatory and internal investigations/audits and escalate significant or unresolved issues to senior compliance management and the business units when necessary;
- Conduct regular compliance training for business unit professionals and supervisors.
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. 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.
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