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Goldman Sachs

Compliance-Bengaluru-Vice President-Regulatory Compliance

Bangalore, India

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.

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Regulatory Practice Group

Part of the Global Compliance Division, the firm's Regulatory Practice Group ("RPG") manages the firm's interactions with all Banking and Securities regulators, managing and mitigating potential negative behavior. It is a dynamic, global team of more than 50 professionals charged with interfacing with regulators on regulatory examinations and inquiries received in jurisdictions worldwide. The team has members in New York, Bengaluru, Dallas, Hong Kong, Jersey City, London, New York, Salt Lake City, Sydney and Tokyo.

Job Summary:
The RPG reporting team is the central team responsible for communicating the regulatory focus and risks to firmwide leadership, senior committees, operational teams, etc through various regulatory metrics and reports leveraging analytical and visualization tools in the process. The team is also involved in firmwide strategic initiatives that impact compliance and the regulatory functions.

Principal Responsibilities

  • Produce various regulatory metrics to senior management (including the board of directors, senior risk/ operational committees, divisional leadership, etc) with the objective of emphasizing the current regulatory focus and risks.
  • Leverage data analytical and visualization tools to automate reports and build dashboards.
    Partner with multiple teams within the firm to assist them enhance their risk framework by supplying them regulatory insights.
  • Continuously work on enhancing the approach and quality of metrics produced by the team to best meet the needs of the recipients.
  • Assist in the development and ongoing maintenance of the technology platforms that houses and supports regulatory interactions.
  • Participate in compliance-led projects and represent team on firmwide and cross regional projects and working groups.
  • Deal with ad-hoc requests and initiatives

Preferred Experience and Skills

  • 8 to 10 years of experience in the financial service industry; preferably in compliance, risk or operations.
  • Proficiency with Microsoft Excel, Word and PowerPoint. Working knowledge of SQL, Alteryx and Tableau would be an added advantage.
  • Highly organized and inquisitive, with attention to detail and tenacity
  • Strong analytical and problem-solving skills
  • Exceptional interpersonal skills - engaging, communicative, persuasive, courteous and the ability to work with people across all levels of seniority.
  • Detail-oriented and able to produce quality work product, even when working under tight time frames.
  • Exceptional judgment skills- ability to identify and effectively escalate potential issues.
  • Excellent oral and written communication skills
  • Ability to handle multiple tasks simultaneously and excel under pressure.
  • Good understanding of financial service regulators and their impact on investment banks

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

© The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

Client-provided location(s): Bengaluru, Karnataka, India
Job ID: goldman-121530
Employment Type: Other

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