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.
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Business Unit and Role Overview
The Compliance Testing Group ("CTG") is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to take on a key governance role within CTG's reporting and operations function. The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to refine firm processes - CTG's reporting of its results is core to this objective.
The individual will be primarily responsible for overseeing the group's reporting and operations function, working closely with CTG senior management on the reporting of the group's testing results to the firm's Global Compliance Operation Committee, as well as key business stakeholders. The individual will also be responsible for other aspects of CTG's governance function, including helping to organize regulatory responses and supporting CTG management with test planning, training, and recruiting. The individual will also have the opportunity to develop and implement new reporting tools and dashboards to provide actionable metrics and visualizations that will drive change and facilitate more effective risk management.
CTG has a global reach and is comprised of experienced individuals with varying backgrounds and qualifications (including former traders, brokers, auditors, accountants, regulators, prosecutors, compliance professionals, lawyers, and product controllers), located in New York, London, Hong Kong, Tokyo, Salt Lake City, Dallas, Singapore, and Warsaw.
Responsibilities:
- Assist in the development and preparation of CTG management presentations and reporting to the firm's Global Compliance Operation Committee, as well as key business stakeholders.
- Prepare CTG performance metrics, and monitor business as usual processes; gather data, perform analyses and document results
- Support CTG management in developing the annual testing plan and tracking CTG's execution against the plan
- Utilize CTG and firm applications to respond to ad hoc data requests from Compliance and business senior management
- Respond to regulatory requests for information about CTG
- Develop reporting tools and workflows to further enhance CTG's reporting framework
- Execute multiple projects at the same time and meet tight deadlines
- Team with colleagues around the globe to refine processes
Basic Qualifications:
- Bachelor's Degree
- Excellent written skills, with ability to describe complex issues in a clear and concise manner
- Excellent attention-to-detail and proof reading skills
- Excellent interview, presentation, communication, time management, and analytical skills
- Integrity, motivation, intellectual curiosity, and attention to detail
- Knowledge of Microsoft Word, Excel, and PowerPoint
- Experience working within a governance or operations function with reporting responsibilities
Preferred Qualifications:
- Experience using Alteryx, Tableau, or other data analytics tools
- Compliance, auditing, testing, legal, or regulatory/law enforcement experience
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
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., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
Salary Range
The expected base salary for this New York, New York, United States-based position is $115000-$250000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.
Benefits
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here.