Goldman Sachs Compliance Electronic Trading Associate 

United States, New York, New York 

921553324

RESPONSIBILITIES

The role requires individuals to help drive key strategic deliverables within the Electronic Trading Compliance program within Global Banking & Markets – Public Compliance and will allow individuals to develop subject matter expertise in electronic trading activities (including algorithms) across asset classes and markets. The role will help individuals understand business and regulatory concerns and devise control mechanisms to improve our control structure and review and oversee an appropriate governance framework within the program. This role requires the individual to be self-motivated, an excellent communicator, work well within a team environment, and be able to apply sound judgment to drive solutions in a fast-paced environment.

This individual’s responsibilities will include

• Assist in the overall Electronic Trading Compliance program deliverables including project management, tracking key initiatives and other team-related deliverables
• Assist and provide subject matter expertise on governance of market conduct, operational and regulatory risk related to algorithmic and other electronic trading activities
• Work with others to perform risk-based assessments of electronic trading activities as it relates to market access
• Perform risk-based assessment of algorithmic trading logic as it relates to regulatory risk
• Advance governance and control frameworks to manage risks in electronic trading
• Collaborate with business, legal and compliance colleagues globally to implement governance and controls
• Evaluate risks and provide compliance advice to business personnel with regards to the rules, regulations, internal policies and appropriate risk mitigation mechanisms
• Track and manage pipeline for compliance reviews
• Actively monitor regulatory developments and trends, and assist with the interpretation and implementation of new rules/regulations and related controls
• Coordinate responses to regulatory reviews and inquiries
• Help develop and deliver training as part of ongoing Compliance training program

SKILLS / EXPERIENCE

• An undergraduate degree is required
• Strong teamwork and project management skills and a self-starter
• Knowledge of broker-dealer regulatory compliance including FINRA, NYSE and SEC regulations
• At least 3+ years of relevant work experience preferably in Compliance (electronic trading or FICC/Equities experience is preferred, but not required)
• Background in Financial Engineering, Computer Science, Engineering or similar degree is a plus, but not required
• Background in Equities and/or Compliance considerations with trading algorithms is a plus, but not required
• Strong written and verbal communication skills and an ability to work well under the pressures of trading environment
• Ability to work independently and apply judgment to resolve issues in a timely manner