Compliance, Securities Division Compliance, Risk Control Group, Associate


Goldman Sachs is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net-worth individuals. Founded in 1869, it is one of the oldest and largest investment banking firms. The firm is headquartered in New York and maintains offices in London, Bangalore, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world. We are committed to growing our distinctive culture and upholding our core values which always place our client’s interests first. These values are reflected in our Business Principles, which emphasise integrity, commitment to excellence, innovation and teamwork.


Goldman Sachs is a meritocracy where you will be given all the tools to help you develop. At Goldman Sachs, you will have access to excellent training programmes designed to improve multiple facets of your skills portfolio. Our in-house training programme, ‘Goldman Sachs University’ offers a comprehensive series of courses that you will have access to as your career progresses. Goldman Sachs University has an impressive catalogue of courses which span technical, business and leadership skills training.

In order to help you navigate the organisation, you will be given a mentor from outside of your immediate department. This person will be positioned to provide you with objective advice and guidance on your career development.

We value internal mobility. The chance to take on new challenges in the firm over time will ensure that you remain stimulated and will help in your continued professional and personal development.


The Compliance Risk Control Group (“CRCG”) is part of the Securities Division Compliance team which provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses.

CRCG’s primary function is to manage compliance and regulatory risk through the development and oversight of controls.

CRCG helps identify and prioritize the compliance and regulatory risks across the Securities Division businesses, and works to develop and/or enhance appropriate risk control measures to mitigate such risks. The controls include preventative front-end trading system controls and processes, surveillance reports and processes, and management information systems. Post development, CRCG performs surveillance reviews and maintains oversight of such controls to ensure the continuing integrity, relevance and proper performance of those controls. On a daily basis, team members are responsible for reviewing a set of surveillance reports and interacting with line compliance and the business to determine whether an exception can be closed or requires further escalation. Team members also work with colleagues to provide data and respond to requests from the various regulatory bodies that oversee our business lines.

CRCG works closely with the Business, Line Compliance and Technology as well as other groups within the Firm.

CRCG has team members globally across the US, EMEA and Asia, and as such, aims to bring a global perspective and globally co-ordinated approach as well as customized solutions to mitigate local regulatory risks.


Development of Controls

  • Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.
  • Apply a consistent approach across businesses, products and regions.
  • Develop associated functional specifications and testing scripts.

Oversight of Controls

  • Perform surveillance reviews and discuss exceptions with Business Personnel and Compliance Officers.
  • Monitor that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
  • Provide training on performance of specific surveillances.
  • Oversee exception reviews generated by detective controls.
  • Identify enhancements to existing controls. Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
  • Participate in periodic risk assessments.

Management Information Systems

  • Develop and/or enhance systematic processes for escalating issues.
  • Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.
  • Coordinate issues, findings and practices with colleagues across regions and/or divisions.
  • Management reporting.
  • Reporting of exception reviews generated by detective controls.

Basic Qualifications•Previous experience in Compliance, Surveillance, Internal Audit or other control function.

  • Working knowledge of securities markets, businesses, products.
  • Preferred working knowledge of securities and exchange rules and regulations.
  • Preferred knowledge of detection logic and surveillance development.
  • Preferred knowledge of sales and trading system functionality.
  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Good interpersonal skills and excellent written/oral communication skills.
  • Ability to work with a variety of senior and junior people, and build smooth working relationships.
  • Highest attention to detail.
  • Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment.
  • Entrepreneurial inclination – ability to work alone and act as project manager.
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.

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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