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- Gather data, perform analyses, and document results
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- Execute multiple projects at the same time and meet tight deadline
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- Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications)
- Fluency in French, Spanish, German, Japanese, Korean, or Mandarin Chinese
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Compliance, Compliance Testing Group, Compliance Investigator, Associate, Dallas - Goldman Sachs
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.
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:
Basic Qualifications:
Preferred Qualifications:
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.
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 atWe're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process
Learn more:
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