Goldman Sachs: Digital Assets Compliance
Senior Analyst | New York, NY
Jul 2022 – Present
- Sole Line Compliance coverage for the Digital Assets Team in the Americas.
- Drafted 2 cross-divisional Compliance policies defining a consistent approach to risks from ongoing activities and new initiatives in the digital assets space. One policy was a key Compliance control and pre-go-live condition for the launch of a 2022 business initiative; designed the training delivered to sales teams ahead of policy publication.
- Developed and published 2 quarterly controls covering the Digital Assets team to verify maintenance of global physical information barriers and compliance with wall-cross procedures.
- Responsible for drafting bi-weekly postings for the Chief Compliance Officer of Goldman Sachs, as well as regular updates to the Audit Committee of the Board on digital assets initiatives. Postings escalate major industry events, new digital asset opportunities, regulatory developments, and control breaks and remediations.
Programs & Working Groups
- Conduct Program: Analyze conduct data across FICC & Equities and determine appropriate disciplinary or training actions for employees with high conduct issue volumes. Present themes and trends to senior management in Compliance and FICC & Equities to inform their ongoing approach to encouraging firm compliance.
- E-Trading Working Group: Collaborated with the Head of US Macro Compliance and Global Commodities Compliance to design a deck that was used to successfully pitch the global expansion of E-Trading Compliance.
Goldman Sachs: Global Markets Management & Strategy Compliance
Analyst | New York, NY
Jun 2021 – Jul 2022
- Conceptualized, designed and launched a quarterly newsletter for all of Global Markets Compliance that provides updates on Global Markets Division conduct metrics, top-of-mind projects, and upcoming deadlines.
- Created a one-pager of agenda items, metrics, and major issues across teams for the Global Head of Global Markets Compliance’s weekly meetings with the Chief Compliance Officer of Goldman Sachs.
Programs & Working Groups
- Policy & Procedure (P&P) Working Group: Analyzed P&P data to help propose a plan to consolidate 46 policies into 4 policies. Examined P&P review rates across regions and teams and identified causes for late reviews.
Goldman Sachs: GS Bank Compliance
Summer Analyst | New York, NY
Jul 2020 – Aug 2020
- Developed, conducted and reported on a forensic assessing Deal Team members’ compliance with Regulations W and O for 45 deals in Q2 of 2020.
- Created an Excel workbook organizing relevant banking regulations. Paraphrased regulations and analyzed how Regulation L applies to GS Bank. Designed flowcharts conveying information from Regulations W and L.
Goldman Sachs: Global Core Compliance
Summer Analyst | New York, NY
Jun 2019 – Aug 2019
- Coordinated with a full-time analyst in Core Compliance to create an in-depth analysis of record-keeping data, which was leveraged to advise an overhaul of the record-keeping process
- Organized logistics for and introduced senior speakers at the Compliance New Campus Hire Orientation.
