Compliance, Market Surveillance Group, Associate

IN-Bengaluru
Job ID
2017-39718
Schedule Type
Full Time
Level
Analyst, Associate
Function(s)
Compliance
India
Division
Compliance
Market Surveillance
Employment Type
Employee

MORE ABOUT THIS JOB

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. 

 

Bangalore is an integral part of the Goldman Sachs global footprint that works seamlessly as a full and equal partner with Federation and Revenue areas of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. Increased depths in capabilities and functional expertise have resulted in the creation of centers of excellence that drive many critical businesses around the globe.
The Compliance Division has established a dynamic team of professionals in Bangalore. The Bangalore team plays a central role in the division’s global strategy to provide solutions to the firm’s traditional business and growth market strategy. We work alongside functional counterparts in many global offices to implement the firm’s regulatory and reputational risk management program.
Principal Responsibilities
• Grasp business, compliance and regulatory rules and policies
• Perform and prepare reports relating to surveillances including but not limited to holdings, positions, personal account trading, restricted trading

RESPONSIBILITIES AND QUALIFICATIONS

Compliance-Market Surveillance- Analyst/Associate, Bengaluru


• Ability to handle multiple tasks simultaneously and work under pressure
• Proactive, self-motivated and organized
• Ability to prioritize and make decisions in a fast paced-environment
• Good judgment – know when and how to escalate issues
• Inquisitive and investigative skills
• Basic understanding of the fundamentals of the financial industry
• Experience in financial, legal, accounting or regulatory areas is preferred
• Computer skills:
o Microsoft Office Applications
o Visual Basic for Applications programming is a desired but not required skill set

 

Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2017. All rights reserved.

ABOUT GOLDMAN SACHS

The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

 

©The Goldman Sachs Group, Inc., 2017. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

Options