Compliance-Bengaluru-Associate-Business Unit Compliance

Job Description

Job Description

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.

Global Banking & Markets Role Overview

The role of a Global Banking & Markets - Public Compliance Officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets-Public business by articulating and maintaining the standards of conduct required of the firm's businesses as well as the laws, regulations and policies governing those businesses. This Business aligned Compliance role provides coverage to its aligned businesses, while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.

Key Responsibilities

- Provide day-to-day line Compliance coverage for the Global Banking & Markets-Public teams in Bengaluru and Hyderabad.
- Advise on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations and regulatory expectations
- Assess new business initiatives and coordinate with interested stakeholders to support the firm's overall governance framework
- Represent Compliance in broad-based cross-divisional projects supporting regulatory requirements
- Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
- Create and implement Compliance training programs for Equities professionals
- Evaluate compliance risks and assist in developing compliance action plans through the firm's Compliance Risk Assessment
- Coordinate issues, findings and practices with colleagues across regions and/ or divisions
- Management Reporting

Qualifications & Skill Sets

- Bachelor's Degree o 5+ years experience in Compliance, Legal, Regulatory in Financial Services, of which at least 2 years relevant experience in Advisory role
- Working knowledge of securities markets, businesses, products and exchange rules and regulations.
- Good interpersonal skills and excellent written/ oral communication skills.
- Inquisitive and proactive in identifying risks and proposing solutions.
- Ability to work with a variety of senior and junior people and build smooth working relationships. o Highest attention to detail.
- Ability to work independently - one who can prioritize deliverables in a fast moving, high pressure, constantly changing environment.
- Strong organizational skills and ability to manage multiple assignments concurrently.
- Entrepreneurial inclination - ability to work alone and act as project manager.
- Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
- Proficiency in usage of Alteryx/ Tableau/ Excel and other data analytics/ visualization tools.
- Build consensus across teams; think and implement stable and scalable solutions.
- Strive for personal and collaborative excellence.

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 GS.com/careers.

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html

The Goldman Sachs Group, Inc., 2023. All rights reserved.

Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.