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Goldman Sachs Compliance Financial Crime Risk & Exam Management Associate Richardson TX 
United States, Texas, Richardson 
117133776

06.04.2024
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.

FCC’s Risk and Exam Management (REM) oversees broad-based FCC initiatives and serves in an advisory capacity to other groups within FCC. Among other responsibilities, REM is tasked with performing global financial crime risk assessments; managing and coordinating AML and other FCC regulatory audits and inquiries; monitoring relevant regulatory updates; and performing policy and procedure development and management; among other responsibilities. REM works closely with FCC managers and divisional stakeholders across the globe to execute this strategy as well as supports other FCC program management and administration.

Responsibilities in this role may include:

Regulatory Oversight:

  • Coordinate regulatory responses and materials across global FCC program, this includes working with other divisions and global stakeholders to meet the regulatory deadlines
  • Draft regulatory responses covering various aspects of the AML program
  • Analyze and prepare metrics related to exams and inquires for senior managers

Data gathering:

  • Coordinate with various stakeholders, including but not limited to Global Compliance, Operations, Technology, the Business, to gather and analyze information
  • Format data gathered using various tools including, MD Office (excel, word, power point, Alteryx etc.), SharePoint, internal and external applications
  • Collate and categorize data using a variety of tools to perform risk analysis
  • Administrative support to store information on database repositories.

Risk analysis and control evaluation:

  • Analyze qualitative and quantitative information gathered to develop risk profiles and trends
  • Coordinate with other FCC teams to evaluate FCC’s control environment
  • Helping prepare presentations and other materials

Preferred Qualifications

  • Bachelor’s required; JD preferred
  • Three to five years of prior compliance or legal experience
  • Working knowledge of AML, counter-terrorism, anti-bribery and/or anti-fraud experience in the banking industry or at a regulator
  • Prior experience or exposure to regulatory exams
  • Prior experience with project management an advantage
  • Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
  • Strong communicator, comfortable in presenting and explaining analysis
  • Knowledge/experience with financial products and services
  • Team player with great attitude and work ethic
  • Ability to multi-task on several different assignments/projects
  • Interest in working on a global team dealing with global businesses
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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