Compliance, Compliance Testing Group, Securities Division - Sales and Trading Forensic Testing Team, Analyst/ Associate



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.

This is an exciting opportunity for an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to join the firm's Compliance Testing Group to conduct forensic reviews of the Securities Division's Equities Sales, Micro Trading, and Electronic Trading desks. In performing these reviews, the individual will use advanced testing techniques to check compliance with policies and regulations and the firm's compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses, including sales and trading employees, strategists, market risk professionals, product controllers, and technologists. CTG's Sales and Trading Forensic Testing Team has a global reach and is comprised of seasoned individuals with varying backgrounds and experience (including former traders, brokers, auditors, accountants, regulators, prosecutors, compliance professionals, lawyers, and product controllers), located in New York, Salt Lake City, London, Hong Kong, Tokyo, Singapore and Bengaluru. The team works with stakeholders in Compliance and business management to obtain consensus and implement corrective actions focused on the following key risks: suitability, market manipulation, collusion and front-running.


The principal objective of the Compliance Testing Group is to create and execute detailed compliance reviews testing to assess compliance with regulations and firm policies. 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: • Propose methods of testing and execute plans discussed and agreed with a team leader • Gather data, perform analyses, and document results • Identify potential compliance and reputational risks, and effectively escalate to appropriate individuals • Multi-task – have the 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 • Meet tight deadlines

Basic Qualifications:

  • Bachelor's Degree • Knowledge of financial products, markets, and regulatory policies • Knowledge of the securities business and sales practices • Excellent interview, presentation, and written communication skills • Integrity, motivation, intellectual curiosity, and enthusiasm • Excellent time management and analytical skills • Knowledge of Microsoft Word and Excel is a must, and knowledge of Access and PowerPoint is useful

Preferred Qualifications:

  • An understanding of financial products (e.g., single name securities, futures, index products, derivatives, options, interest rate products, commodities) • Compliance, auditing, testing, legal, regulatory/law enforcement, sales or trading experience • Experience in the financial services industry, either working for another broker dealer, law firm, big 4 firm or regulator • 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, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus • Understanding of accounting


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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