Goldman Sachs
Compliance, Compliance Testing Group, Compliance Investigator, Vice President
Goldman Sachs, New York, New York, us, 10261
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 deadlines
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
Salary RangeThe 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.
BenefitsGoldman 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.
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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.
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 deadlines
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
Salary RangeThe 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.
BenefitsGoldman 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.
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