Compliance, O, T, F & S Compliance, VP, Irving

MORE ABOUT THIS JOB

GLOBAL COMPLIANCEOur 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.

This is a role on the OTF&S Compliance team supporting the Operations, Technology, Finance, Services, Risk & Human Capital Management divisions. The successful candidate should be able to work with stakeholders across all levels of the firm who are responsible for implementing key controls, while bringing a regulatory mindset to the firm's risk management program. Candidates must be able to organize their time to deal with time sensitive issues as well as move longer-term projects forward as part of their regular workload. Additionally, candidates should possess sound judgment, curiosity, and be able to adapt to a changing regulatory landscape.

RESPONSIBILITIES AND QUALIFICATIONS

Principal Responsibilities

  • Partner with the Federation in order to conduct and supervise its activities in compliance with regulations and firm policies, help to reduce the firm's regulatory and reputation risk, and reinforce the firm's culture of compliance • Provide day-to-day advisory service to the Federation on the firm's policies and regulations that apply to these divisions • Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses • Review certain regulatory changes and ensure the business is able to support them • Develop, draft and assist in the implementation of policies & procedures • Evaluate regulatory developments • Work alongside Operations & Technology Risk teams to identify and mitigate compliance risks inherent in those areas • Provide support to the team on various project initiatives • Liaise with other Compliance, Legal and Federation personnel on cross-divisional initiatives

Basic Qualifications

  • BA Degree • At least five years of experience working in a Compliance, Operations and/or Technology function

Preferred Qualifications

  • Demonstrated project management experience with proven ability to build rapport with stakeholders and appropriately exercise judgment in a collaborative, consensus-driven environment • Pro-active, self-motivated, quick-learner, assertive and well organized • Ability to work independently, but still be a strong team player • Forward looking, focused on streamlining processes and increasing efficiency • Great attention to detail • Hands on, proactive approach to problem solving • Ability to handle multiple tasks and work under pressure • Excellent oral and written communication skills • Ability to motivate and influence others • Interest in the operational and mechanical aspects of financial markets

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.


Meet Some of Goldman Sachs's Employees

Sabrina H.

Private Wealth Advisor

Sabrina is an entrepreneur within Goldman Sachs’ team-driven culture—mobilizing an elite team of wealth management professionals that help high net-worth individuals identify investment solutions including trusts, endowments, and real estate.

Rossi R.

Software Engineer, Asset Management

Rossi is a senior developer—evaluating data insights and allowing individual investors and high net-worth individuals and families 24/7 access to top-notch technology solutions.


Back to top