Compliance - GIR Compliance - Associate - Bangalore
WHO WE ARE
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world.
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.
Business Supported: Global Investment Research Division(GIR)
From macroeconomic forecasts to individual stock analysis, GIR develops tools and insights to help shape investment strategies for clients and the firm. GIR analysts work on client-focused research in the equity, fixed-income, currency, and commodities markets, mining big data that enters markets around the world each day to identify game-changing insights .
Region Covered: Seat will be in Bengaluru. Coverage will be global (Americas, EMEA and Asia Pacific).
RESPONSIBILITIES AND QUALIFICATIONS
General Description of Role: This role will involve working with the global GIR Compliance team on surveillance and training, as well as daily interactions with research analysts and colleagues in other Compliance areas for advisory purposes. The analyst should be able to adapt to a changing regulatory environment, think independently and exercise judgment in complicated situations, take the lead in innovating new projects and areas for the team to explore.
- Controls/Surveillance/Testing. Create controls, conduct routine surveillance, roll-out surveillances and monitor testing of policies and procedures.
- Design, execute and deliver live and online training on divisional policies and procedures, support the global team in administration of the divisional training program
- Policies and Procedures. Ensure that the division has appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies. Work closely with Legal and the business to fulfill requirements.
- Have familiarity with business practices and act as a resource on a daily basis for compliance, regulatory, policy and reputational issues.
- Education: Bachelor's degree
- Strong analytical and organizational skills, ability to multi-task
- Accurate and detail-oriented with sound judgment and integrity
- Excellent interpersonal and communication skills; the ability to clearly articulate ideas
- Highly motivated and adaptable; team player; ability to work on a team of diverse individuals over numerous jurisdictions
- Proactive, inquisitive and responsive; ability to identify and solve problems creatively and quickly in a fast-paced, dynamic environment
Goldman Sachs is an equal opportunity employer. © The Goldman Sachs Group, Inc., 2016. All rights reserved
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., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.
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