Compliance, Federation Compliance, Vice President, New York

GLOBAL COMPLIANCE AT GOLDMAN SACHS

At 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 OVERVIEW

Federation 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

ROLE AND RESPONSIBILITIES AND QUALIFICATIONS

As part of the Americas Federation Compliance team, you will provide compliance support and coverage for the firm's Engineering division, with a particular focus on Technology Risk and Global Cyber Defense and Intelligence (GCDI) teams. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and Business Unit priorities. To fulfill this role and responsibilities, you will need to:

• 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