Compliance - Compliance Testing Group - Associate/Vice President- Bengaluru
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, Bangalore, 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.
RESPONSIBILITIES AND QUALIFICATIONS
- Support CTG management in developing the annual testing plan and tracking CTG's execution against the plan
- Propose methods of testing and execute plans discussed and agreed with a Regional Head
- Respond to ad hoc inquiries and assist with firmwide initiatives relating to CTG
- Gather data, perform analyses, and document results
- Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
- Multi-task; work on several different reviews with different individuals at the same time
- Leverage strong communication skills to interact with Compliance and business senior management
• Bachelor's Degree
• Broad knowledge of financial products, markets, and European laws and regulations, in particular FCA and BaFin rules
• Excellent written English skills, with ability to describe complex issues in a clear and concise manner
• Excellent interview, presentation, communication, time management, and analytical skills
• Knowledge of Microsoft Word and Excel is a must
• Fluency in English
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., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
Back to top