Compliance - Securities Division Compliance (SDC) - Senior Analyst - 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, Bangalore, Hong Kong and other major financial centers around the world.
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
Development of Reviews
- Partner with Line Compliance to develop and/or enhance Programmatic Reviews and associated review procedures which may include working with various business and Technology to source appropriated data.
- Apply a consistent approach across businesses, products and regions.
Execution of Reviews
- Perform Programmatic Reviews based on agreed review procedures with Line Compliance.
- Discuss results of the review with Line Compliance and where necessary engage with Business Personnel on any potential findings.
- Monitor that the reviews are being performed properly from a qualitative and timeliness perspective.
- Identify enhancements to existing review procedures based on results of previous reviews or change of risk profile of the business it covers
- Participate in periodic risk assessments.
Management Reporting and Escalation
- Monitor and escalate key performance matrix in relation to executing the Programmatic Review Program
- 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
SKILLS / EXPERIENCE:
- Previous experience in Compliance, Surveillance, Internal Audit or other control function.
- 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.
- 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.
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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