The Goldman Sachs Group
Compliance, Core - Issue Management, Associate
The Goldman Sachs Group, Dallas, Texas, United States, 75215
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.
Responsibilities and Qualifications
The Core Compliance Team is at the forefront of delivering robust compliance risk management in adherence with regulator expectations. We are looking for a team member who can help drive our compliance risk management program forward, by collaborating with first- and second-line teams, including Engineering, Operational Risk, the business and Compliance globally. The successful candidate should demonstrate strategic thinking, comfort interacting with senior audiences, and an ability to help lead large scale transformation.
We are looking for someone who is equal part visionary and executor. The role will require you to collaborate, navigate and problem solve with multiple teams.
Principal Responsibilities:
Assist with developing strategy for building an Issue Management program within Compliance
Coordinate ongoing Issue Management process for Compliance to ensure adherence to the firmwide Issue Management requirements
Partner with divisional leads to self-identify issues and ensure subsequent mitigation of risks through Corrective Action plans
Determine methodology to review and challenge 1LoD issues submitted for closure
Develop Lessons Learned analysis
Establish metrics and reporting for Senior Management
Qualifications:
3 to 7 years' experience in compliance or risk management in the financial services industry or consulting industry
Bachelor's degree
Experience with issue management and/or internal control frameworks
Experience with quality assurance or 2LOD review and challenge
Strong understanding of Compliance program mandates and Operational Risk Frameworks
Exceptional analytical, problem solving, critical thinking and project management skills with a proven track record of execution against deadlines
Strong communication and relationship-building skills in frequent interaction with other areas of the firm, in particular, senior stakeholders
Detail-oriented and able to produce quality work product, even when managing time-sensitive demands from competing stakeholders
Work independently and exercise strong judgment
Advanced PowerPoint and Excel skills
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.
We're 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
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
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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.
Responsibilities and Qualifications
The Core Compliance Team is at the forefront of delivering robust compliance risk management in adherence with regulator expectations. We are looking for a team member who can help drive our compliance risk management program forward, by collaborating with first- and second-line teams, including Engineering, Operational Risk, the business and Compliance globally. The successful candidate should demonstrate strategic thinking, comfort interacting with senior audiences, and an ability to help lead large scale transformation.
We are looking for someone who is equal part visionary and executor. The role will require you to collaborate, navigate and problem solve with multiple teams.
Principal Responsibilities:
Assist with developing strategy for building an Issue Management program within Compliance
Coordinate ongoing Issue Management process for Compliance to ensure adherence to the firmwide Issue Management requirements
Partner with divisional leads to self-identify issues and ensure subsequent mitigation of risks through Corrective Action plans
Determine methodology to review and challenge 1LoD issues submitted for closure
Develop Lessons Learned analysis
Establish metrics and reporting for Senior Management
Qualifications:
3 to 7 years' experience in compliance or risk management in the financial services industry or consulting industry
Bachelor's degree
Experience with issue management and/or internal control frameworks
Experience with quality assurance or 2LOD review and challenge
Strong understanding of Compliance program mandates and Operational Risk Frameworks
Exceptional analytical, problem solving, critical thinking and project management skills with a proven track record of execution against deadlines
Strong communication and relationship-building skills in frequent interaction with other areas of the firm, in particular, senior stakeholders
Detail-oriented and able to produce quality work product, even when managing time-sensitive demands from competing stakeholders
Work independently and exercise strong judgment
Advanced PowerPoint and Excel skills
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.
We're 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
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
#J-18808-Ljbffr