Compliance - Regulatory Practice Group - Associate - Bengaluru
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 - Regulatory Practice Group - Overview
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 complex global markets.
Part of the Global Compliance Division, the firm's Regulatory Practice Group ("RPG") is a dynamic, global team of more than 60 professionals charged with interfacing with regulators on regulatory examinations and inquiries received in jurisdictions worldwide. Led by a Global Head in New York, the team has members in Bengaluru, Hong Kong, Jersey City, London, New York, Sydney and Tokyo.
RESPONSIBILITIES AND QUALIFICATIONS
- Help oversee the governance framework over the development, periodic review and change management of both the Volcker and Supervisory quarterly sub-attestations, the inventory of internal controls related to the Volcker Compliance Program, training, and committee governance
- Assist in the development of meeting material to be used during the Supervisory Certification meetings in support of Volcker, FINRA and other regulatory certification requirements
- Assist in the development and ongoing maintenance of the technology platforms that support the quarterly certification process, training, and committee governance
- Execute various reporting for senior management
- Liaise with various internal stakeholders like Compliance, Technology, Legal and other Federation areas
- Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
Experience / Skills / Systems Requirements
- Strong communications skills; oral, written and interpretive - must be able to comprehend what is said/written and ask probing questions
- Strong analytical and risk assessment skills
- Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders
- Proactive, self-motivated and organized
- Be unfailingly detail-oriented, so as to consistently produce accurate work product
- Ability to prioritize and make decisions in a fast paced-environment
- Good judgment - evaluate circumstances; consider alternatives and weigh pros and cons; use critical thinking to determine when and how to escalate issues
- Expertise with Microsoft Word, Excel, and PowerPoint
- Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
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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