Compliance, Regulatory Practice Group, Firmwide Compliance Program, Senior Analyst

Goldman Sachs New York , NY 10007

Posted 3 months ago

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.

Overview

Our business principle #2 states: "We are dedicated to complying fully with the letter and spirit of the laws, rules and ethical principles that govern us. Our continued success depends upon unswerving adherence to this standard."

It is the role of Goldman Sachs' Global Compliance Division to help ensure that every employee and client of the firm upholds this principle. Accordingly, the Division is viewed as an integral part of the firm, enabling it to conduct business confidently in complex global markets.

Part of the Global Compliance Division, the firm's Regulatory Practice Group ("RPG") is a dynamic, global team of more than 50 professionals charged with interfacing with regulators on regulatory examinations and inquiries received in jurisdictions worldwide, as well managing various Firmwide Compliance Programs. Led by a Global Head in New York, the team has members in Bengaluru, Hong Kong, Jersey City, London, New York, Sydney and Tokyo.

The RPG team for the Americas is looking for a talented individual to join its New York Firmwide Compliance Program ("FCP") team as a Senior Analyst. The FCP team within the Regulatory Practice Group is responsible for the governance and maintenance of various firmwide compliance frameworks, examples include: Volcker, supervisory rules, committee governance, and certain bank holding company regulations. The Volcker Compliance Program and Supervisory Certifications Management frameworks, for example, focus on enterprise wide compliance risk management pertaining to BHC Act regulations and programs such as, the Volcker Rule Compliance Program ("VCP"), governance processes associated with the Volcker-related system of internal controls, firmwide supervisory compliance and related certifications, and issue management. The team also provides periodic management reporting on various compliance metrics to senior management, committees and the Board of Directors.

RESPONSIBILITIES AND QUALIFICATIONS

Responsibilities

Principal Responsibilities include:

  • Contribute to the design and help oversee the governance framework over the development, periodic review and change management of the inventory of internal controls related to the VCP

  • As part of the management of the Volcker-related system of internal controls, facilitate sessions with control owners to review and assess control design; prepare control design assessment reports

  • Assist in the development of meeting material to be used during the Supervisory Certification meetings in support of Volcker, FINRA and other regulatory certification requirements

  • Execute monthly and quarterly control processes required as part of the Volcker, Supervisory and related Bank Holding Company act compliance frameworks

  • Assist in the development and ongoing maintenance of the technology platforms that support the Supervisory Certification and related processes

  • Action ad hoc requests and initiatives

Qualifications

  • Bachelor's degree;

  • 5 to 3 years of relevant work experience;

  • Proficiency with Microsoft Word, Excel and PowerPoint;

  • Excellent time management, analytical and communication skills;

  • Attention to detail and strong follow-up skills;

  • Integrity, motivation, intellectual curiosity and enthusiasm;

  • Ability to learn quickly and work through complex issues;

  • Understanding of Compliance related internal controls design, implementation and testing;

  • Exceptional judgment skills ability to identify and effectively escalate potential issues;

  • Exceptional interpersonal skills engaging, communicative, assertive, persuasive, courteous and the ability to work with people across all levels of seniority;

  • Project management experience with proven ability to build rapport with stakeholders and appropriately exercise judgment in a collaborative, consensus-driven environment

  • Prior regulatory experience (inclusive of Volcker and FINRA) and/or management consulting background beneficial but not mandatory

  • Prior experience with SOX, Internal Audit or Compliance Testing functions beneficial but not mandatory

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., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.


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Compliance, Regulatory Practice Group, Firmwide Compliance Program, Senior Analyst

Goldman Sachs