Global Banking and Markets Public

3 weeks ago

Bengaluru, India Goldman Sachs Full time

eam Overview: 

GBM Supervisory Risk and Controls team is a First Line risk management function and manages business controls covering supervisory related risks arising from both Equities and Fixed Income Currency & Commodities (FICC) sales & trading activities, as well as pre-trade and post-trade controls for different regulatory obligations in the Global Banking & Markets (GBM) division. The team focuses on control design, implementation and enhancements to ensure risk in GBM is appropriately mitigated.

Roles and Responsibilities

 Develop subject matter expertise on business controls and support coverage to effectively investigate and remediate business control issues that arise

Support development of key metrics to measure effectiveness of the business control framework Build relationships with Sales/Trading including regular meetings with Supervisors to discuss their team’s regulatory compliance exceptions. Work with Compliance and Legal on matters relating to regulatory compliance and conduct. Contribute to strategic initiatives to streamline pre-trade, trade and supervisory control design, workflows and processes across obligations Represent the team in all necessary forums for the business controls covered within the region including operating risks & control groups, as well as Management & Strategy (M&S) committees when needed  Monitoring and Oversight of Control Actions and Control Effectiveness Execute the data governance framework, policies, standards, and guidelines

Basic Qualifications:

Bachelor’s degree 2 - 5 years of relevant work experience with exposure to regulatory implementation or specific knowledge of front office supervision frameworks Good understanding of risk & controls framework across Trading & Sales businesses Good understanding of securities markets, derivative products and Sales & Trading functions and ability to build relationships with sales / trading personnel Prior exposure to regulatory trading obligations such as MiFID II, Margin Rules and Clearing and Execution reporting obligations Ability to prioritize and meet simultaneous competing demands and a passion for a drive to deliver in a rapidly changing environment Experience managing projects, and building and maintaining stakeholder relationships; communicating with influence Ability to identify and articulate complex issues to a diverse group of stakeholders, propose mitigates/solutions and escalate appropriately Demonstrate effective analytical, critical thinking, and perform root cause / trending / impact analysis to drive decision making Experience with data blending and data visualization software such as Alteryx, Tableau, QlikView, Power BI, is desirable but not required

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 /careers. 

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

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