185 Compliance, Federation Compliance, Vice President, New York Jobs in New York, NY
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PIMCO Ltd. - Pacific Investment Management Company
New York, NY | Full Time
$130k-209k (estimate)
4 Months Ago
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Compliance, Federation Compliance, Vice President, New York
$86k-109k (estimate)
Full Time | Banking
2 Months Ago
Goldman Sachs is Hiring a Compliance, Federation Compliance, Vice President, New York Near New York, NY
Job DescriptionGLOBAL COMPLIANCE AT GOLDMAN SACHSAt Goldman Sachs, the mandate of Global Compliance is to prevent, detect and mitigate compliance, regulatory, and reputational risk across the firm and help to strengthen the firm’s culture of compliance. Compliance accomplishes this mandate through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. Compliance provides advice on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations around the globe. Importantly, Compliance plays a key role in reviewing and effectively challenging transactions presenting compliance or reputational risks.
Business Unit And Role OverviewFederation Compliance provides compliance coverage to the Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Finance, Planning and Analysis, Office of the CAO, Risk, Tax and Human Capital Management divisions (“the Federation”). This includes:
BenefitsGoldman 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 .
Business Unit And Role OverviewFederation Compliance provides compliance coverage to the Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Finance, Planning and Analysis, Office of the CAO, Risk, Tax and Human Capital Management divisions (“the Federation”). This includes:
- Conducting risk identification, measurement and assessment
- Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues
- Participating in firm responses to regulatory examinations, audits and inquiries
- Performing surveillance and investigations of business activities of the above-referenced Federation groups
- Testing the effectiveness of controls
- Writing policies and procedures
- Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiative
- Advise, challenge, and influence the Engineering Division and business divisions on regulations, policies, and reputational risk
- Brief senior leadership on risks identified and ensure stakeholder investment
- Analyze and conduct ongoing reviews of technology regulations, agency guidance, trends and enforcement actions to assess the impact to the firm and identify potential gaps
- Partner with the impacted groups to ensure the business is able to support new requirements
- Identify, investigate and manage compliance issues and escalations involving the Engineering Division, Technology Risk and GCDI
- Coordinate with counterparts in other jurisdictions to ensure the firm is meeting technology related regulatory requirements globally
- As needed, support development and analysis of technology-related policies, standards and processes to ensure compliance with applicable regulations and requirements
- Recommend compliance testing or forensic work to be performed
- Develop and deliver communications and training to the Engineering Division and other Federation teams
- Coordinate with the broader Federation Compliance team on specific initiatives and projects
BenefitsGoldman 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 .
Job Summary
JOB TYPE
Full Time
INDUSTRY
Banking
SALARY
$86k-109k (estimate)
POST DATE
07/15/2024
EXPIRATION DATE
10/11/2024
WEBSITE
goldmansachs.com
HEADQUARTERS
CHICAGO, IL
SIZE
>50,000
FOUNDED
1869
CEO
JOHN COBLENTZ
REVENUE
>$50B
INDUSTRY
Banking
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