Compliance, Regulatory Audits & Inquiries Paralegal, Associate

Our business principle #2 states: “We are dedicated to complying fully with the letter and spirit of the laws, rules and ethical principles that govern us. Our continued success depends upon unswerving adherence to this standard.”

It is the role of Goldman Sachs’ Global Compliance Division to help ensure that every employee and client of the firm upholds this principle. Accordingly, the Division is viewed as an integral part of the firm, enabling it to conduct business confidently in extremely complex global markets.

Part of the Global Compliance Division, the firm’s Regulatory Audits & Inquiries team (“A&I”) is a dynamic, global team of nearly 50 professionals charged with interfacing with regulators on regulatory audits and inquiries received in jurisdictions worldwide. The team is also responsible for working with stakeholders throughout the firm to help ensure the efficacy of firm controls, policies and procedures relating to regulatory requirements. Led by a Global Head in New York, the team has members in Bengaluru, Hong Kong, Jersey City, London, New York, Salt Lake City, Sydney and Tokyo.

The A&I team for the Americas is looking for a talented individual to join its New York team.


The paralegal will work closely with all members of the A&I team for the Americas, as well as A&I’s Bengaluru-based team, to help ensure that regulatory matters received by the firm are appropriately tracked, assigned, and documented. This will involve frequent correspondence with firm regulators in the Americas (such as CFTC, CME, FINRA, NFA, SEC, and various Exchanges), as well as stakeholders outside of the A&I team.

In addition, the consultant will be responsible for compiling, on a weekly, monthly and quarterly basis, various internal reports integral to the work and responsibilities of the A&I team, then reviewing those reports with team members for accuracy and completeness.

  • Leverage strong communication and relationship-building skills in frequent interaction with team members in multiple locations;
  • Organize and maintain large quantities of data and documentation in a dynamic environment;
  • Identify and effectively escalate potential issues to appropriate person(s);

Basic Qualifications• Be unfailingly detail-oriented, so as to consistently produce accurate work product;

  • Work independently and exercise strong judgment when executing an assigned task;
  • Multi-task and have the ability to manage and advance multiple projects simultaneously;
  • Meet tight deadlines and comfortably operate in the face of time constraints;
  • Persistently follow-up with colleagues to ensure that appropriate information is obtained and timely recorded.

Preferred Qualifications• Integrity, motivation, intellectual curiosity and enthusiasm;

  • Resilience in the face of challenges, roadblocks and setbacks when encountered;
  • Expertise with Microsoft Word, Excel (intermediate to advanced skills) and PowerPoint;
  • Prior paralegal experience or equivalent strongly preferred;
  • Prior experience in the financial industry a plus.


  • B.A. or equivalent required.

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet. © The Goldman Sachs Group, Inc., 2015. All rights reserved.

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