WHO WE ARE
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.
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.
Research applicable rules and interpret guidance in areas of compliance disclosures, licensing/registration and personal trading
Take ownership of processes and controls within the team, drive the development of methods to improve processes and / or controls to ensure these are efficient, effective and relevant
Facilitate employees with obtaining regulatory registrations/licensing and ensure its validity on an ongoing basis
Oversight of the internal and external registration systems, including those with regulators and exchanges like FCA, Eurex etc.
Maintain licensing and registration related records in firm’s compliance systems
Support the resolution of issues or concerns related to registration matters
Work with GS personnel to provide initial and periodic compliance disclosures in a timely manner
Review personal brokerage account disclosures of GS personnel, identify areas of risk and proactively provide support in addressing queries
Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers for any non-compliance
Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
Experience / Skills / Systems Requirements:
Strong communications skills; oral, written and interpretive - must be able to comprehend what is said/written and ask probing questions
Strong analytical and risk assessment skills
Demonstrate resiliency and creativity when under pressure and manage time-sensitive demands from competing stakeholders
Proactive, self-motivated and organized
Be unfailingly detail-oriented, so as to consistently produce accurate work product
Ability to prioritize and make decisions in a fast paced-environment
Good judgment - evaluate circumstances; consider alternatives and weigh pros and cons; use critical thinking to determine when and how to escalate issues
Expertise with Microsoft Word, Excel, and PowerPoint
Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
Experience in financial, legal, accounting or regulatory areas is preferred
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. Learn more 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. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
© The Goldman Sachs Group, Inc., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity