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.
This is an exciting opportunity for an individual who is a self-starter, who exudes energy, curiosity, and enthusiasm to join the firm’s Compliance Testing Group to conduct forensic reviews of the various Divisions within the firm. In performing these reviews, the individual will use advanced testing techniques to check compliance with regulations and the firm’s policies, procedures and compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses, including sales and trading employees, investment bankers, portfolio managers, merchant bankers, and technologists.
The principal objective of the Compliance Testing Group (“CTG”) is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to refine firm processes. The team has global reach (with locations in New York, Salt Lake City, London, Tokyo, Singapore, Bengaluru, and Hong Kong) and is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, prosecutors, compliance professionals, lawyers and traders).
RESPONSIBILITIES AND QUALIFICATIONS Basic Qualifications
ABOUT GOLDMAN SACHS The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.
© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.