Compliance, Compliance Testing Group, Securities Division - Sales and Trading Forensic Testing Team, Associate/ Vice President
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.
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 and reputational risks, and effectively escalate to appropriate individuals
- 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
- 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
- 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
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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