Compliance-Bengaluru-Vice President-Regulatory Compliance
3 weeks ago
Regulatory Practice Group - Overview
Our business principle #2 states: “We are dedicated to complying fully with the letter and spirit of the laws, rules and ethical principles that govern us. Our continued success depends upon unswerving adherence to this standard”.
It is the role of Goldman Sachs’ Global Compliance Division to help ensure that every employee and client of the firm upholds this principle. Accordingly, the Division is viewed as an integral part of the firm, enabling it to conduct business confidently in complex global markets.
Part of the Global Compliance Division, the firm’s Regulatory Practice Group (“RPG”) is a dynamic, global team of more than 50 professionals charged with interfacing with regulators on regulatory examinations and inquiries received in jurisdictions worldwide. The team has members in Bengaluru, Dallas, Hong Kong, London, New York, Sydney, and Tokyo.
The RPG team is looking for a talented individual to join its Bengaluru team as a Vice President. RPG team members attach importance to in-person learning and connectivity, and accordingly, this is an in-office role at the firm’s Bengaluru office, not a remote position.
Responsibilities and Qualifications
The RPG Bengaluru team, in coordination with RPG Global team, responds to requests for information received by the firm from financial industry regulators, including the SEC, FINRA, FCA, and SEBI. These requests for information typically relate to various financial industry regulatory topics, including recent market developments, potential market abuse and/or manipulation, regulatory reporting requirements, risk management practices, new regulatory requirements, recordkeeping, and supervisory policies and procedures, among other topics. A significant number of requests handled by RPG seek to test and/or confirm Goldman Sachs’ compliance with the laws and regulations applicable to its many businesses.
Principal Responsibilities
As the liaison between the firm and its regulators on matters of regulatory compliance, RPG team members work closely with business, compliance, and legal teams within the firm. While working to respond to regulatory requests - the primary responsibilities of RPG team members include:
Ensuring that regulatory matters received by the firm are appropriately tracked; Research applicable rules and interpretive guidance; Taking ownership of processes and controls within the team, driving the development of methods to improve processes and/or controls to ensure that these are efficient, effective and relevant; Conduct informational interviews and gather responsive documentation; Coordinate with internal stakeholders regarding regulatory information requests and the firm’s responses; Apply excellent analytical abilities to research and draft comprehensive, accurate and persuasive responses to diverse regulatory requests for information; Escalate situations that maybe potential control failings, as appropriate, to relevant divisional compliance officers and business unit managers; Monitor the firm’s progress in completing undertakings made to regulators during the course of inquiries and exams, among other responsibilities.The successful candidate must have the ability to
Leverage strong communication and relationship-building skills; Organize and maintain large volume of data and documentation in a dynamic environment; Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders; Effectively and efficiently conduct business by video, phone and in-person meetings with both internal and external stakeholders; Persistently follow-up with colleagues to ensure that appropriate information is obtained and timely recorded; Be unfailingly detail-oriented, so as to consistently produce accurate work product; Work independently and exercise strong judgment when executing an assigned task; Multi-task and have the ability to manage and advance multiple projects simultaneously;Basic Qualifications
Graduate degree in law, business, or other relevant program; At least 7+ years’ experience in Compliance, Legal or other control function. A regulatory background would be highly regarded; Working knowledge of securities markets, businesses, products; Working knowledge of securities and exchange rules and regulations; Proficiency with Microsoft Word, Excel and PowerPoint; Experience working with Tableau, Alteryx or Python for data analysis and/or automation would be highly regarded. 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.-
bangalore, India Goldman Sachs Full timeOur 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,...
-
bangalore, India Goldman Sachs Full timeOur 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,...
-
bangalore, India JPMorgan Chase & Co. Full timeAs part of Compliance, Conduct and Operational Risk (CCOR) you are at the center of helping the firm understand, manage and anticipate risks in a constantly changing environment. CCOR provides independent oversight of the firm’s compliance, conduct, and operational risks and maintains a strong control environment. The work covers areas such as review...
-
bangalore, India JPMorgan Chase & Co. Full timeAs part of Compliance, Conduct and Operational Risk (CCOR) you are at the center of helping the firm understand, manage and anticipate risks in a constantly changing environment. CCOR provides independent oversight of the firm’s compliance, conduct, and operational risks and maintains a strong control environment. The work covers areas such as review...
-
bangalore, India Goldman Sachs Full timeOur 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,...
-
bangalore, India Goldman Sachs Full timeYOUR IMPACT Are you passionate about developing mission-critical, high quality software solutions, using cutting-edge technology, in a dynamic environment? We are looking for talented and enthusiastic professionals to join our engineering team and help build out a broad set of user-facing and data processing platforms. OUR IMPACT ...
-
Associate Director Regulatory Compliance
3 days ago
bangalore, India VidPro Consultancy Services Full timeAssociate Director - Regulatory ComplianceThey are Payment Gateway organization. Their Payment Aggregation business is regulated by the Reserve Bank of India and they are one of the first recipients of such licenses, and will be adding more such regulated products in its portfolio. We are looking for a dynamic regulatory compliance leader, who could work...
-
Assistant Vice President GSC’S
7 hours ago
bangalore, India HSBC Full timeSome careers have more impact than others. If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. HSBC is one of the largest banking and financial services organisations in the world, with operations in 62 countries and territories. We aim to be where the growth is, enabling businesses...
-
Associate Director Regulatory Compliance
3 days ago
bangalore, India VidPro Consultancy Services Full timeAssociate Director - Regulatory Compliance They are Payment Gateway organization. Their Payment Aggregation business is regulated by the Reserve Bank of India and they are one of the first recipients of such licenses, and will be adding more such regulated products in its portfolio. We are looking for a dynamic regulatory compliance leader, who could work...
-
bangalore, India Goldman Sachs Full timeOur 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,...
-
Senior Vice President Human Resources
5 days ago
Bengaluru/ Bangalore, India Quest Junction Full timeApply for Senior Vice President Human Resources, Quest Junction in Bengaluru/ Bangalore ,Pune for 20 - 25 Year of Experience on TimesJobs.com.
-
bangalore, India Goldman Sachs Full timeOur 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,...
-
bangalore, India Goldman Sachs Full timeOur 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,...
-
Associate - Compliance - Law (Background)
3 weeks ago
bangalore, India Corporation Service Company Full timeAssociate Bangalore 45 Hours weekly Hybrid Intro: Intertrust, a CSC company is a dynamic, international and growth-oriented company. We provide you with outstanding opportunities for your professional and personal development through our local and global offices. The anti-money laundering and counter terrorist financing...
-
US regulatory Reporting
2 weeks ago
Bangalore, India State Street Full timeLooking for CA/CPA/MBA qualified professionals with 10-12 years of experience in US regulatory reporting. As an Assistant Vice President, this role will be responsible for supporting the preparation of monthly, quarterly and annual regulatory filings to U.S. Regulators, ranging across Financial reporting (FRY 9C, FFIEC 031, FRY 15) Treasury International...
-
Compliance Manager
3 weeks ago
bangalore, India PhonePe Full timeThe PhonePe Ethics and Compliance team plays a critical role in the successful execution of the firm's ethical and compliance mission. The Financial Services Compliance function at PhonePe, ensures the development and maintenance of a strong compliance culture within the company by developing and maintaining program infrastructure that identifies, measures...
-
Security Risk and Regulatory Tech Compliance
1 month ago
bangalore, India KreditBee Full timeRoles and Responsibilities: Ensure Compliance with the Regulatory requirements w.r.t the Information and Cyber Security requirements - RBI, UIDAI, CIC, etc. Identify and develop the InfoSec Policy, Processes, and Procedures to incorporate the industry benchmarks / best practices and the latest trends. To identify, track, monitor & ensure compliance with...
-
bangalore, India Goldman Sachs Full timeOur 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,...
-
US Regulatory Reporting
2 weeks ago
Bangalore City, India State Street Full timeLooking for CA/CPA/MBA qualified professionals with 10-12 years of experience in US regulatory reporting. As an Assistant Vice President, this role will be responsible for supporting the preparation of monthly, quarterly and annual regulatory filings to U.S. Regulators, ranging across Financial reporting (FRY 9C, FFIEC 031, FRY 15) Treasury International...
-
bangalore, India Goldman Sachs Full timeOur 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,...
