Compliance-Bengaluru-Associate-Regulatory Compliance
1 month ago
Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees’ outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees’ personal trading activities.
Bengaluru is an integral part of the Goldman Sachs global footprint that works seamlessly as a full and equal partner with Federation and Revenue areas of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. Increased depths in capabilities and functional expertise have resulted in the creation of centers of excellence that drive many critical businesses around the globe.
The Compliance Division has established a dynamic team of professionals in Bengaluru. The Bengaluru team plays a central role in the division’s global strategy to provide solutions to the firm’s traditional business and growth market strategy. We work alongside functional counterparts in many global offices to implement the firm’s regulatory and reputational risk management program.
Responsibilities and Qualifications
Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees’ outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees’ personal trading activities.
Principal Responsibilities
GCES team members work closely with business, legal and other compliance teams within the firm. While working to address various employee related compliance matters - the primary responsibilities of GCES team members include:
• Apply, develop and implement procedures, practices and controls related to compliance disclosures, licensing/registration and personal trading
• Research applicable rules and interpret guidance in areas of compliance disclosures, licensing/registration and personal trading
• Take ownership of processes and controls within the team, drive the development of methods to improve processes and / or controls to ensure these are efficient, effective and relevant
• Facilitate employees with obtaining regulatory registrations/licensing and ensure its validity on an ongoing basis
• Oversight of the internal and external registration systems, including those with regulators and exchanges like FCA, Eurex etc.
• Maintain licensing and registration related records in firm’s compliance systems
• Support the resolution of issues or concerns related to registration matters
• Work with GS personnel to provide initial and periodic compliance disclosures in a timely manner
• Review personal brokerage account disclosures of GS personnel, identify areas of risk and proactively provide support in addressing queries
• Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers for any non-compliance
• Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
Experience / Skills / Systems Requirements
• Strong communications skills; oral, written and interpretive - must be able to comprehend what is said/written and ask probing questions
• Strong analytical and risk assessment skills
• Demonstrate resiliency and creativity when under pressure and manage time-sensitive demands from competing stakeholders
• Proactive, self-motivated and organized
• Be unfailingly detail-oriented, so as to consistently produce accurate work product
• Ability to prioritize and make decisions in a fast paced-environment
• Good judgment - evaluate circumstances; consider alternatives and weigh pros and cons; use critical thinking to determine when and how to escalate issues
• Expertise with Microsoft Word, Excel, and PowerPoint
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
• Experience in financial, legal, accounting or regulatory areas is preferred
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