Financial Crime Compliance, Securities Division Representative, Vice President
Financial Crime Compliance (“FCC”) coordinates Goldman Sachs’ enterprise-wide anti-money laundering (“AML”), economic sanctions, e-communications and anti-bribery compliance efforts. FCC consists of the global Anti-Money Laundering-Suspicious Activities Group, the Anti-Bribery Group, the Government Sanctions Group, the Electronic Communications Surveillance Group and Surveillance Analytics.
The combined global FCC team, which is composed of professionals with extensive law enforcement, regulatory, legal, compliance, forensic consulting, operations and business experience, administers an array of surveillances, due diligence and other control processes designed to identify potential money laundering, terrorist financing, bribery, securities fraud and other violations of law.
The Securities Division Representative (“Sec Div Rep”) acts as a liaison between the Firm’s Securities Division and FCC. Principally, the role involves four responsibilities: 1) Fielding and addressing ad hoc escalations from Securities Division staff about potentially suspicious activity across a wide range of products and business lines; 2) Apprising senior business leaders of patterns of potentially aberrational client or counterparty behavior as well as developments in the financial crime space; 3) Conferring with counterparts at peer institutions to benchmark the Firm’s approach to cutting edge challenges in financial crime compliance; and 4) Collaborating with divisional compliance, legal and the business on strategic projects.
The ideal candidate would have a strong background in financial transactions, including securities trading, prime brokerage, sales and trading as well as significant experience having worked at a securities regulator, at a registrant or service provider to a registrant.
Experience related to AML, economic sanctions, anti-bribery or e-communications compliance or in the securities and/or banking industry is desirable, but not required.
Basic Qualifications• Securities-related experience;
- Strong oral and written communication skills;
- Driven, organized, and energetic;
- Analytical; capable of identifying and distilling relevant information quickly;
- Interest in technology enhancements and data analysis;
- Works well under pressure, effectively prioritizes and is able to multi-task;
- Works cooperatively and courteously with others;
- Strong executive presence; capable of interacting with senior leaders;
- Proficiency in Microsoft Excel, PowerPoint, Word
Preferred Qualifications• Clear thinker capable of turning complex topics into concise and compelling narratives;
- Prior experience reviewing data to identity risk-relevant information;
- Knowledgeable on BSA/AML, economic sanctions, anti-bribery and/or e- Communications compliance;
- Familiarity with the securities/banking industry and/or Goldman Sachs businesses.
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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