Goldman Sachs 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 Compliance to make sure every employee and client of the firm upholds that principle. This is done through developing policies and procedures, surveillance, training, providing advice on anticipated and existing regulations and monitoring employee, client and firm activities. Compliance enables the firm to conduct business with confidence in extremely complex global markets.

BUSINESS UNIT OVERVIEW: 

CF&O Compliance is part of the team which provides Compliance coverage to CF&O Divisions within the firm. CF&O Compliance provides advice and oversight on a variety of matters to ensure regulatory, reputational and compliance risks across the CF&O are mitigated. In association with its Business Partners, CF&O Compliance ensures there is supervision of people and functions, provides guidance on Regulatory adherence, investigates conduct related matters, and identify risks that may affect the overall health of the CF&O divisions. 

 Principal Responsibilities

• Monitoring for compliance with firm policies, including the identification and investigation of conduct related issues
• Preparing reports relating to conduct and non-conduct metrics for supervisory meetings
• Seeking and implementing automated solutions (for manual processes and anticipated future requirements)
• Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
• Identify and effectively escalate potential issues to the appropriate person/s
• Communicate findings to compliance colleagues and suggest potential corrective actions to address issues
• Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation

Experience/Skills

• Able to grasp new concepts quickly and work in a team environment.
• Excellent interpersonal and communication (written and verbal) skills.
• Self-starter, inquisitive, enthusiastic with a strong analytical mind-set
• Ability to handle multiple projects, deadlines, personalities, and broad-based coverage.
• Ability to work in a fast-paced, team-oriented environment.
• Effective problem solver, attention to detail and ability to work to tight deadlines under pressure.
• Risk management focus
• Knowledge and understanding of Excel, PowerPoint, Word, and adaptability to other software products.
• Knowledge of BI tools like Alteryx and Tableau would be an advantage but not mandatory.