Global Compliance

Global Compliance advises and assists the firm’s businesses to ensure compliance with applicable laws, rules and regulations.

Global Compliance is dedicated to protecting the reputation of the firm, managing risk and helping to advance the business of the firm. Working closely with each business, Global Compliance professionals help to shape the direction of one of the most respected firms in the world. The major functions performed by Global Compliance include providing advice to the business, testing, monitoring, regulatory reporting, training, surveillance, managing regulatory audits and inquiries, and developing and implementing policies and procedures. From global financial centers to important developing markets, Global Compliance professionals interpret and ensure compliance with regulatory requirements and determine how the firm can appropriately pursue global market opportunities.

Global Compliance interacts with more than 130 regulatory bodies in over 30 countries. We monitor trends and changes in regulations in all jurisdictions in which the firm does business. We share information and collaborate with regulators to manage financial market risk. Some colleagues in Global Compliance are former regulators and enforcement officers.

Global Compliance professionals, committed to integrity and excellence. They are subject matter experts, risk managers and trusted advisors to the business who are guided by the group’s REACH framework: 

• Relationships: Focus on building impactful client relationships.
• Excellence: Strive for proactive and reactive excellence.
• Ask Questions: Speak up and ask “Why?”
• Creativity: Look for solutions.
• Hold Yourself Accountable: Step up to challenges.

The guiding principle of Global Compliance is Goldman Sachs Business Principle #2:

Our assets are our people, capital and reputation. If any of these is ever diminished, the last is the most difficult to restore. We are dedicated to complying fully with the letter and spirit of the laws, rules and ethical principles that govern us. Our continued success depends upon unswerving adherence to this standard.