Compliance, Surveillance Analytics – Project Management & Delivery, Vice President

The Surveillance Analytics Group, within the Global Compliance division, is responsible for:

  • Leading Global Compliance initiatives focused on surveillance development and strategy, process re-engineering, and metrics/reporting.
  • Working with both Compliance Officers and the Technology Organization to define, prioritize, and address surveillance-related needs. Areas of focus include trade/transaction surveillances (e.g., market manipulation, insider trading), anti-money laundering surveillances, and e-communications surveillance.
  • Designing and developing complex proprietary surveillances with a strong emphasis on analytical models.

Summary of the Role

The Surveillance Analytics Group works with teams across the Compliance Division and manages numerous projects at one time. We are looking for a candidate who can help to drive the delivery of surveillance-focused projects that cut across various teams and topics. Examples of recent initiatives that would be carried out in this role include:

  • Designed, developed and maintained project reporting dashboards (budgeted vs. delivered, delivered late, etc.) for presentation to senior Compliance management.
  • Performed an evaluation of analytics software package (Alteryx), engaging teams across Compliance. Summarized evaluation feedback and results for presentation to senior Compliance management. Developed training and provided ongoing support to users across Compliance following adoption of the tool.
  • Conducted an assessment of leading surveillance vendors to evaluate their offerings for market manipulation scenarios. Developed cost estimate and summarized recommendations for presentation to senior Compliance management.
  • Undertook a project to identify, size, and prioritize potential efficiency initiatives across the Compliance division (technological, process, etc.).
  • Assisted with the development and delivery of a proprietary surveillance model that seeks to identify traders/salespeople who may be misleading clients about market prices or the price at which the firm acquired an opaque security.

Basic Qualifications• 5+ years of experience, preferably in consulting or financial services

  • Strong analytical and problem solving skills
  • Adaptable, comfortable with uncertainty
  • Working knowledge of financial markets and products
  • Excellent written and verbal communications skills
  • Technically savvy, comfortable facing off with both business and Technology groups
  • While much of the Surveillance Analytics Group is comprised of computer scientists, data modelers, and financial engineers, that background is not required for this role. That said, demonstrated experience working with, and analyzing, data is required (e.g., utilizing Excel, Alteryx, Tableau, QlikView, etc.)
  • Prior exposure to surveillance, either designing/managing surveillance programs or performing surveillance, a plus but not 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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