Compliance - Compliance Monitoring / QC Group - Vice President - Bengaluru


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. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers 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.



Candidate will work as part of the GS Bank ("Bank") Compliance team with a primary focus on creating and executing monitoring plans for assessing compliance with consumer regulations and policies/procedures. Candidate will use their skills, ideas, and leadership to identify risk, assess existing processes, develop recommendations to mitigate risk, and monitor the implementation of management's control measures.


The compliance monitoring team reviews for continued compliance with regulatory requirements and adherence to bank policies and procedures. The team partners with functional areas to assess whether processes are working as intended, identifies areas for improvement, and facilitates reporting and issue remediation through a robust governance process.


  • Create monitoring plans and test steps to assess compliance with regulatory requirements, policies, and procedures
  • Manage a team of associates and analysts responsible for executing monitoring plans
  • Develop and maintain an in-depth understanding of business and technology areas, products, systems, and supporting functions
  • Communicate findings and suggest potential corrective actions to address issues
  • Escalate situations, as appropriate to relevant divisional compliance officers and business unit managers
  • Develop data analytics and reporting techniques for assessing risk and monitoring effectiveness of policies and procedures
  • Seek and implement automated solutions to facilitate reviews, reporting, and remediation
  • Generate management reports
  • Leverage strong communication and relationship building skills in frequent interaction with other areas of the firm and professionals across the globe
  • Assess the impact of trends identified during monitoring and assist with production of trending reports
  • Follow up with stakeholders on the remediation of issues identified during monitoring
  • Ability to present findings, including root cause and potential risk exposure to senior management
  • Ability to manage several different reviews at the same time and meet tight deadlines

  • Bachelor's degree
  • At least 8 years of relevant experience, preferably in compliance, testing, or audit
  • Experience managing a team in a fast-paced environment with minimal supervision
  • Strong understanding of the bank, including consumer focused businesses and products
  • Excellent communication skills (oral and written), with ability to ask probing questions
  • Strong attention to detail and investigative skills
  • Strong problem solving background that includes identifying patterns, analyzing root causes and proposing solutions to resolve issues
  • Independent thinker who will be proactive, assertive and professional while managing multiple stakeholders, driving consensus, and influencing outcomes
  • Ability to quickly grasp complex concepts, including global business and regulatory matters
  • Possess excellent time management/organizational skills with a keen eye toward attention to detail
  • Strong relationship management skills with ability to deepen relationships and build partnerships across the business, Compliance, Technology, Legal and Risk
  • Ability to work in a geographically diverse team and build strong relationships across locations and regions
  • Extensive experience working with Microsoft Office applications


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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.

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