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
Business Supported: Global Investment Research Division (GIR). From macroeconomic forecasts to individual stock analysis, GIR develops tools and insights to help shape investment strategies for clients and the firm. GIR analysts work on client-focused research in the equity, fixed-income, currency, and commodities markets, analyzing data that enters markets around the world each day to identify game-changing insights.
HOW YOU WILL FULFILL YOUR POTENTIAL
GIR Compliance officers work closely on a daily basis with research professionals across a broad spectrum of coverage areas to advise on rules and laws impacting research and related areas of the firm. GIR Compliance officers must display initiative, creativity and drive, along with the ability to work closely and comfortably with a diverse group of research professionals, in order to effectively assist the firm in preventing, detecting and mitigating compliance, regulatory and reputational risk. The London GIR Compliance team covers GIR professionals in offices across Europe and the Middle East, including London, Paris, Milan, Dubai, and Birmingham. The global GIR Compliance team also collaborates closely across regions with team members located in New York, Hong Kong, Shanghai, Tokyo, Singapore, India, and Sydney.
* Advisory and Compliance Oversight. Provide advice to the business, including senior management, on regulatory and reputational related matters, and act as a resource on a daily basis for compliance and policy issues.
* Policies and Procedures. Ensure that the division has appropriate policies and procedures in place. Assess, design and drive completion of necessary updates and new policies. Work closely with Legal and the business to fulfill requirements.
* Regulatory Matters. Assist with regulatory examinations, audits and inquiries and analyze regulatory developments in order to formulate practical solutions to industry-wide issues
* Training. Design, execute and deliver live and online training on divisional policies and procedures.
* Controls/Surveillance/Testing. Create controls, develop surveillance and monitor testing of policies and procedures.
* New Business and Initiatives. Coordinate with the business, Legal, Technology and other divisions across the firm on new initiatives.
REQUIRED EXPERIENCE/SKILLS
* Bachelor’s degree or higher, Law or MBA degree a plus, but not required
* Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
* Inquisitive, quick learner who can adapt well to a fluid regulatory and business environment
* Ability to handle multiple tasks simultaneously, and to work effectively in a team
* Organized, detail-oriented, enthusiastic and professional
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
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.
Financial Wellness & Retirement
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees’ priorities.
Health Services
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.
Fitness
To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).
Child Care & Family Care
We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.
Benefits at Goldman Sachs
Read more about the full suite of class-leading benefits our firm has to offer.
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