Global Compliance
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firmâs culture of compliance. Compliance accomplishes these through the firmâs enterprise-wide compliance risk management program. As an independent control function and part of the firmâs second line of defense, Compliance assesses the firmâs 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 firmâs 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.
Financial Crime Compliance (FCC) is a centralized surveillance, due diligence, and investigations function within the Global Compliance Department. We focus on executing firm-wide surveillances and enforcement of firm-wide trading policies, client onboarding and Know Your Customer Controls, transaction/asset movement monitoring, international economic sanctions compliance, anti-bribery and other controls/surveillances that cover all business units and employees worldwide.
The Quality Assurance Team within Compliance is seeking an Associate to join our team and help assure the high standards set for work completed by FCC investigators are being met. The ideal candidate would have proven experience identifying potential legal, regulatory, or reputational risk that others may have overlooked, with the discipline to constantly maintain such focus.
Principal Responsibilities:
- Review various work items completed by FCC investigators, assuring firm standards are met, and relevant risks have been addressed.
- Identify, then communicate, findings and areas for uplift with FCC managers and investigators.
- Drive forward projects addressing quality assurance and control.
- Develop reporting tools and workflows to further enhance CQA sampling and reporting framework.
- Assist with the implementation and monitor the efficiency of quality assurance tools and applications.
- Document, analyze, and communicate detailed metrics related to quality reviews.
Preferred Qualifications:
- Prior compliance experience. Prior FCC experience preferred
- Excellent risk assessment skills, and attention to detail
- Strong verbal and written communications skills
- Ability to prioritize workflows and ensure deadlines are met
- Ability to learn new systems and processes quickly
- Able to work independently, but still be team-oriented
- Experience with standard computer applications, including Microsoft Office and Excel
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 GS.com/careers.
Weâre committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
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Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.