Compliance, Data Control Group, New York, 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
Compliance is looking for junior and VP-level staff for a newly-created Data Control Group. The Group will develop and implement strategies focused on the quality of data that Compliance uses to conduct its daily responsibilities, such as surveillances. The Group will work closely with other teams across Compliance and also with Technology and potentially other stakeholders to develop the necessary tools and metrics needed to accomplish this mission. The Data Control Group will conduct front-to-back examinations of certain data-dependent compliance systems, reviewing data sourcing, data flows, data operations, and data output.
The examinations are designed to ascertain whether data is complete and accurate and the compliance system produces the intended output. The goal is to identify opportunities for data control enhancements where necessary, to leverage data control solutions across similar compliance functions, and eventually to create a process to monitor the continued health of data controls. Experience with technology systems and controls, trading systems, various types of financial products, testing or auditing, and/or data-dependent compliance functions is preferred.
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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