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Goldman Sachs Compliance Testing - Global Banking & Markets Associate United States, Texas, Dallas 483078456
04.05.2024
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:
- 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
- Knowledge of products, the securities business and sales practices, i.e., prior experience in sales and trading, product controllers, compliance, legal, regulatory, audit or risk management functions Excellent interview, presentation, written communication, time management, and analytical skills
- Integrity, motivation, intellectual curiosity, and enthusiasm
- Knowledge of Microsoft Word and Excel; knowledge of Access, Alteryx and PowerPoint is useful
Preferred Qualifications:
- Deep understanding of the products offered by the Equities, Foreign Exchange, Interest Rates, Commodities or Credit Markets trading desks
- Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications)
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
- Understanding of risk management, accounting, information technology systems, and standard system implementation methodologies
- Fluency in French, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese
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.
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