Compliance - Global Markets Compliance - Associate - Bengaluru

    • Bangalore, India



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, Bengaluru, Hong Kong and other major financial centers around the world.

GLOBAL COMPLIANCE

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

Func tional Responsibilities:

-Provision of advice in real time to Global Markets Division personnel in Bengaluru on policies and procedures
-Monitoring and conducting reviews focusing on compliance with regulatory requirements and internal controls
-Participating in global Global Markets Compliance projects and initiatives
-Preparation of clear and concise presentations and reports to deliver to managers

Preferred Qualifications:

-4+ years of work experience as a compliance officer or in a legal, risk, audit or technology-related role
-Working knowledge of securities markets, businesses, products.
-Working knowledge of securities and exchange rules and regulations.
-Inquisitive and proactive in identifying risks and proposing solutions.
-Some experience with data analytics platforms (e.g., Alteryx ) and data visualization and reporting tools (e.g.Tableau), and proficiency in Excel, PowerPoint and other technology tools.
-Be a quick learner and self-starter, with the ability to work effectively with minimal supervision while simultaneously contributing to the team
-Excellent analytical thinking and problem solving skills
-Excellent written and verbal communication skills with the ability to summarize findings and present in a clear, concise manner to peers and managers
-Ability to adapt to new changes and challenges in a fast-paced environment
-Ability to prioritize work flows and ensure deadlines are met

ABOUT GOLDMAN SACHS

ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers .

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https:// www.goldmansachs.com/careers/footer/disability-statement.html

© The Goldman Sachs Group, Inc., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity


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