Compliance, Compliance Testing Group, Associate

Location(s)

US-NY-New York

MORE ABOUT THIS JOB

GLOBAL COMPLIANCE

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

Business Unit and Role Overview

Compliance Testing Group ("CTG") is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct investigative work covering the various firm businesses and divisions. The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to identify compliance, conduct, and reputational risks, and refine firm controls as appropriate. CTG's global team (with locations in New York, Salt Lake City, Dallas, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, prosecutors, compliance professionals, lawyers, and traders). The individual will work closely with Compliance and business management.

Responsibilities:

Propose methods of testing and execute plans discussed and agreed with a team leader
• Gather data, perform analyses, and document results


• Identify potential compliance, conduct, and reputational risks, and effectively escalate to appropriate individuals


• Multi-task work on several different reviews with different individuals at the same time


• Leverage strong communication skills to interact with Compliance and business senior management


• Team with colleagues around the globe to share findings and refine processes

Basic Qualifications:

• Bachelor's Degree


• Broad knowledge of financial products, markets, and laws and regulations such as FINRA and SEC rules


• Excellent interview, presentation, written communication, time management, and analytical skills


• Integrity, motivation, intellectual curiosity, and enthusiasm

Preferred Qualifications:

• Compliance, auditing, testing, legal, or regulatory/law enforcement experience


• Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator


• Fluency in French, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus

ABOUT GOLDMAN SACHS

ABOUT GOLDMAN SACHS

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 atGS.com/careers.

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

The Goldman Sachs Group, Inc., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity