The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains a global presence.
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.
E-Communications Compliance
The successful candidate will be responsible for reviewing the electronic and voice communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules and regulations governing the securities and banking industries, as well as internal firm policy. The Communications Compliance team works closely with other teams within Compliance, Legal, Employee Relations, Global Cyber Defense and Intelligence and Engineering. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.
Principal Responsibilities:
* Utilize surveillance systems to review communications for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
* Identify, document and resolve potential regulatory/compliance issues
* Partner with Business Aligned Compliance and generate and review monthly reporting summaries on issues identified
* Liaise with other teams within Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of communications
* Design, testing, and maintenance of communication surveillances
* Assist with managing the firm's communication retention framework, including:
* In partnership with Legal, evaluate potential surveillance requirements for communication functionalities within applications
* Partner with Engineering to design, build, and test retention feed solutions for 3rd party applications
* Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms
Basic Qualifications:
* 2-5 years of experience, preferably in the financial services industry
* Additional language skills preferred
* Regulatory/Audit related experience preferred.
* Strong interpersonal skills, including the ability to collaborate and work as a team
* Attention to detail and strong follow-up skills
* Excellent oral and written communications skills
* Excellent problem solving skills with the ability to exercise sound and balanced judgment
* Ability to handle multiple tasks simultaneously and work under... For full info follow application link.
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ldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.