Global PWM Compliance Surveillance Strategy, Sr. Analyst/Associate

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. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

PWM Compliance is a unit within Global Compliance that services the Private Wealth Management area within the Investment Management Division. The role of Compliance within PWM is to partner with the business in order to conduct and supervise its business in compliance with regulations and firm policies, help to reduce the firm’s regulatory and reputation risk, and reinforce the firm’s culture of compliance.

The Surveillance Strategy team is a part of the Global PWM Compliance team and is based in New York with team members in New York and Bengaluru.

The Global PWM Surveillance Strategy team primarily focuses on the maintenance, design, development and implementation of various systematic controls as well as forensic reviews to monitor for compliance with various regulatory and policy based requirements. This new role will be to primarily support the forensic review program.

PRINCIPAL RESPONSIBILITIES

  • Monitor and track the global forensic program, including the coordination of regional and global reviews each quarter and preparation for quarterly Review Group meetings
  • Coordinate the supervisory and other periodic reports on conduct issues identified during the forensic reviews
  • Develop and implement surveillance that may be based on a forensic review

oClose liaison with the Compliance Surveillance Analytics Group and Compliance Information Technology, along with subject matter experts within Compliance, in the development, review, and testing of new automated surveillance models and outputs

oDraft logical requirements and propose design suggestions to develop and implement surveillance and controls

oPerform User Acceptance Testing of proposed controls along with constant posting to relevant global compliance members

oInteract with relevant technology teams, Divisional and Regional Compliance teams to obtain global feedback and necessary sign-offs

  • Assist with maintenance, drafting and updating policies and procedures impacted by forensic review findings or surveillance developed

Basic Qualifications•University degree and/or professional compliance / financial services qualification

  • 3+ years’ compliance or other relevant financial services experience. Private wealth management / product compliance experience preferred.
  • Strong investigative, analytical and problem solving skills with the ability to exercise sound and balanced judgment
  • Strong product knowledge and trading strategies used by PWM, e.g. structured products, alternative investments, derivatives
  • Good interpersonal skills and effective written/oral communication skills.
  • Attention to detail
  • Ability to handle multiple tasks and work under pressure
  • Proficient in MS office tools including strong knowledge of MS-Excel
  • Strong project management and organization skills
  • 3 – 5 years financial services experience preferred
  • Advanced MS Office skills, including experience with large data sets and proficiency in data manipulation and presentation

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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