Compliance, Compliance Testing Group, Asset Management and Merchant Banking Forensic Testing Team, Associate/VP
MORE ABOUT THIS JOB
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.
Compliance Testing Group
The Compliance Testing Group conducts forensic reviews of the Asset Management and Merchant Banking Divisions. In performing these reviews, the individual will use advanced testing techniques to check compliance with regulations and the firm's policies, procedures, and compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses, including portfolio managers, merchant bankers, and technologists. CTG Asset Management and Merchant Banking Forensic Testing Team has a global reach and is comprised of seasoned individuals with varying backgrounds and experience (including former auditors, accountants, regulators, prosecutors, compliance professionals, and lawyers), located in New York, Salt Lake City, London, Hong Kong, Tokyo, Singapore, and Bengaluru. The individual will work closely with Compliance and business management and gain an excellent understanding of both the firm's businesses and the rules and regulations under which the firm operates.
RESPONSIBILITIES AND QUALIFICATIONS
- Propose methods of testing and execute plans discussed and agreed with a team leader
- Gather data, perform analyses, and document results
- Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
- Meet tight deadlines
- Ability to work on several different reviews with different individuals at the same time
- Leverage strong communication skills to interact with Compliance and business senior management
- Team with colleagues around the globe to share findings and refine processes
- Bachelor's Degree
- Knowledge of the Investment Company Act of 1940 and related compliance and testing experience
- Knowledge of financial products, markets, and regulatory policies
- Knowledge of the asset management business
- Excellent interview, presentation, and written communication skills
- Excellent time management, analytical, and communication skills
- Integrity, motivation, intellectual curiosity, and enthusiasm
- Knowledge of Microsoft Word and Excel is a must and knowledge of Access and PowerPoint is useful
- Auditing, testing, regulatory/law enforcement, or trading experience
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
- Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications would be useful)
- Understanding of information technology systems and standard system implementation methodologies a plus
- Fluency in English language, both orally and in writing
- Fluency in French, Spanish, Portuguese, German, Italian, Japanese, Korean, or Mandarin Chinese a plus
- Understanding of accounting
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 reservedGoldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
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