Compliance, E-Communication Surveillance, Associate/Vice President



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.

The Communications Compliance Project Team is responsible for leading strategic initiatives to improve the E-Comm Surveillance infrastructure and delivering new products and platforms to the division. The projects team's success is critical to the success of E-Communications Compliance and its ability to continually support the rapidly changing business needs. The projects team works in a fast moving environment and the project managers are expected to learn quickly, to efficiently manage time and priorities, to be able to effectively navigate the organization, to drive change and ultimately bring projects to completion within budget and with minimal risk to the organization.

We are looking for a highly motivated individual with excellent organizational and communication skills. This person needs to multi-task well and be able to adapt quickly to an ever-changing list of demands. Increased skills in project management, time management, and the ability to quickly adapt and change to new roles and opportunities. The role will require extensive coordination and interaction with various Compliance teams, Technology, Legal, and other professionals across the firm as well as some external exposure to various clients and vendors.


Required Skills:

  • Detailed understanding of internal controls design, implementation and testing
  • Experience with handling large data sets; familiarity with data cleansing methodologies, and data transfer processes
  • Expertise in statistics and quantitative analysis
  • Exposure to quantitative risk management
  • Demonstrated project management experience with proven ability to build rapport with stakeholders and appropriately exercise judgment in a collaborative, consensus-driven environment

Principal Responsibilities

  • Design, develop, test, and implement e-communications surveillances
  • Create efficiencies with existing surveillance infrastructure
  • Assemble stakeholders, document project plans and design specifications, and develop test plans
  • Coordinate required documentation review and senior manager sign off at key milestones
  • Identify, document, and resolve potential regulatory/compliance issues
  • Analyze and creatively present data and develop quantitative solutions
  • Ability to create structured data from non-structured documents (such as email)
  • Utilize the e-communications surveillance systems to review messages for regulatory compliance
  • Think strategically about the execution of e-communication surveillance systems in order to uplift and upkeep on a continual basis
  • Create reporting metrics and summaries on issues identified
  • Develop and implement project strategies to meet aggressive deadlines, while maintaining high standards
  • Present recommendations to many audiences through strong written and verbal communications

Preferred Qualifications

  • 5-10 years of relevant experience
  • Basic coding knowledge, or a background in a computational field (Statistics, Economics, Computer Science, Applied Mathematics, Engineering, or related quantitative disciplines) is a plus, but not required
  • Interest in using technology to strategically manage risk
  • Excellent project management skills
  • Demonstrated skills in negotiation, quantitative and qualitative analysis, problem solving and execution
  • Natural curiosity and desire to ask questions, while thinking critically about existing processes
  • Interest in social media and new mediums of communication
  • Ability to perform a lead role in the coordination of projects across various divisions of the Firm

Basic Qualifications

  • Bachelor's degree required
  • Basic understanding of the fundamentals of the financial industry
  • Interest in financial crime and financial regulation
  • Solutions oriented
  • MS Office proficiency


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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