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    Compliance, Compliance Testing Group, Compliance Investigator, Vice President - New York, NY, United States - Goldman Sachs

    Goldman Sachs
    Goldman Sachs New York, NY, United States

    3 weeks ago

    Default job background
    Full time
    Description
    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

    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 compliance reviews covering 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 refine firm processes
    CTG's global team (with locations in New York, Dallas, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, prosecutors, compliance professionals and traders)
    The individual will work closely with Compliance and business management and gain an understanding of the firm's businesses and the rules, as well as regulations under which the firm operates

    This is an exciting opportunity for an individual who enjoys investigative work and possesses deep knowledge of wealth, asset or portfolio management, and/or risk management functions across a variety of asset classes
    The ideal candidate will possess and leverage their extensive knowledge in wealth or asset management through prior roles (e.g., compliance, financial advisor, sales, product controller, market risk, legal, or audit) to investigate whether activities and practices comply with policies and regulations and the firm's compliance control infrastructure
    This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and engineers

    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
    • Leverage strong communication skills to interact with compliance and senior business management
    • Team with colleagues around the globe to share findings and refine processes
    • Execute multiple projects at the same time and meet tight deadline
    Basic Qualifications:
    • Bachelor's Degree
    • Broad knowledge of financial products, markets, and laws and regulations such as FINRA rules, SEC rules, and the Investment Company Act of 1940
    • Excellent interview, presentation, written communication, time management, and analytical skills
    • Integrity, motivation, intellectual curiosity, and enthusiasm
    Preferred Qualifications:
    • Prior experience in compliance, product controllers, legal, regulatory, audit or risk management functions covering asset or wealth management and/or global banking and markets businesses
    • Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
    • Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications)
    • Fluency in French, Spanish, German, Japanese, Korean, or Mandarin Chinese
    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 at

    We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process
    Learn more:

    The Goldman Sachs Group, Inc., 2023
    All rights reserved

    Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

    Salary Range
    The expected base salary for this New York, New York, United States-based position is $115000-$250000
    In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end

    Benefits
    Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience
    A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here
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