Compliance, Ecommunications, Vice President, SLC



As an independent control function and part of the firm's second line of defense, the Global Compliance division 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. Our division helps to strengthen the firm's culture of compliance through the firm's enterprise-wide compliance risk management program. You will 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 the ability to adapt to a changing regulatory landscape.

The E-Communications team, a component of Communications Compliance, works closely with divisional Compliance, Legal, Employee Relations, Information Security and Technology. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.

RESPONSIBILITIES AND QUALIFICATIONS

Principal Responsibilities:

  • Develop and implement project strategies to meet aggressive deadlines, while maintaining high standards
  • Assist in the development and testing of a new, cutting edge surveillance platform
  • Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other things)
  • Identify, document and resolve potential regulatory/compliance issues
  • Create monthly reporting summaries on issues identified
  • Liaise with divisional Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications
  • Liaise with global E-surveillance team to ensure consistency on handling issues identified
  • Create and test new surveillance and create efficiencies with existing monitoring processes



Qualifications
  • Bachelor's degree required, J.D. degree preferred
  • 5-10 years of relevant experience
  • Excellent project management skills
  • Demonstrated leadership skills in a team environment
  • Natural curiosity and desire to ask questions, while thinking critically about existing processes
  • Attention to detail and strong follow-up skills
  • Excellent oral and written communications skills
  • Strong interpersonal skills
  • Excellent problem solving skills with the ability to exaercise sound and balanced judgment
  • Ability to handle multiple tasks simultaneously and work under pressure


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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.


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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.


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