Global Compliance

Global Compliance is organized broadly into divisional compliance groups and centralized compliance groups, each with firmwide responsibilities.

Divisional compliance groups are embedded in the business they support. These groups include Global Investment Banking Division/Merchant Banking Division Compliance, Global Securities Division Compliance, Global Investment Management Division Compliance (which consists of Goldman Sachs Asset Management Compliance and Private Wealth Management Compliance), Global Investment Research Compliance and Global Operations, Technology, Finance and Services Compliance.

Centralized functions with Global Compliance include the following:

• Compliance Surveillance Strategy is comprised of the Anti-Money Laundering/Suspicious Activities Group, E-Communications Compliance and Global Surveillance.
• Global Compliance Employee Services manages registrations, outside interests and private investments.
• Global Compliance Testing, Regulatory Audits and Inquiries, Global Compliance Training and Communications and Global Control Room Chaperones. These groups manage regulatory affairs, services and resources related to all businesses and employees of the firm globally. They advise, test, survey and manage firmwide activities, employee activities, transactions and risks.

Global Compliance has more than 500 professionals who come from a variety of career paths and academic disciplines, including lawyers, accountants, financial analysts, information technology specialists, regulators, management consultants, sales professionals and traders, among other professions.

Global Compliance professionals are located in more than 30 offices around the world. Approximately 50% are in North America, predominantly in our New York office, and approximately 20% are in the UK and Europe, with the highest concentration in London.

Global Compliance professionals are also located in Asia, with teams in Tokyo, Hong Kong, Singapore and other locations throughout the region. The group continues to expand its presence in India, Brazil, China, Korea, the Middle East, and Russia.