Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these 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. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. Swap Dealer Compliance seeks a Compliance Officer to advise internal stakeholders on implementation and development of CFTC, NFA and SEC swap dealer requirements, including developing relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting, metrics and assisting in the remediation of noncompliance matters. This position will require engagement with the business, including Global Banking and Markets, Private Wealth Management and Corporate Treasury as well as with Compliance, Legal, Operations, Engineering, Risk, Finance and Audit stakeholders. Knowledge of

SEC, CFTC & NFA

swap regulations is preferred to uplift the compliance program and assist the firm's swap dealing entities and their Chief Compliance Officers (CCOs) satisfy their obligations under relevant rules.

Responsibilities:

Advise and implement enhancements to the overall Swap Dealer Compliance Program, including policies and procedures Assist in responding to regulatory inquiries, audits, examinations and investigations, and liaising with regulators (SEC, CFTC & NFA) Assist with the development and maintenance of management reporting for Boards of Directors, CEOs and other senior stakeholders at the firm Support the CCOs in administering their duties to overseeing the firm's Swap Dealer Compliance Program Assist in managing conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program Review and educate internal stakeholders on regulatory updates and engage in advocacy and industry discussions on swap dealer matters Advise the business on regulatory requirements, developments and expectations across the swap dealer regimes including swap data reporting, business conduct, margin among other areas Serve as an escalation point and assist in remediating non-compliance issues Assist in drafting CCO annual reports for the firm's swap dealer, futures commission merchant and security based swap dealer entities Assess the effectiveness of the relevant CFTC, NFA and SEC rules on a periodic basis together with obligations, risks and controls, including risk assessment activities Assist in developing monitoring and testing to review and challenge controls and implementation of obligations with Compliance and business teams, and work with Audit on their ongoing reviews Assist with the development of training for Associated Persons of the swap dealer and security-based swap dealer to educate and remind those employees of their obligations and expected behaviors

Qualifications:

4-8 years' experience in and knowledge of

CFTC, SEC, NFA

swap dealer regulations Experience writing and implementing policies and procedures, management information and reports Product knowledge and regulatory experience within the OTC derivatives and securities-based swaps businesses a plus Assist with the monitoring, and testing of compliance programs Strong interpersonal skills and the ability to manage processes and drive change and accountability with key internal stakeholders Effective communicator with senior stakeholders both verbally and written, including experience delivering trainings Work effectively with personnel in different office locations and in different time zones Exceptional attention to detail and strong analytical skills Proficiency in Excel, Powerpoint, and Microsoft Office Bachelor's degree level educated within a relevant field JD preferred but not required

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. 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. : https://www.goldmansachs.com/careers/footer/disability-statement.html We Offer Best-In-Class Benefits Healthcare & Medical Insurance We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance. Holiday & Vacation Policies We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year. Financial Wellness & Retirement We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees' priorities. Health Services We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices. Fitness To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount). Child Care & Family Care We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available. Benefits at Goldman Sachs Read more about the full suite of class-leading benefits our firm has to offer. Opportunity Overview

CORPORATE

TITLEAssociate

OFFICE LOCATION

(S)Salt Lake City JOB FUNCTIONBusiness Unit Compliance DIVISIONCompliance Division