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Compliance-Bengaluru-Associate-E-Communications Compliance
2 months ago
Global Compliance – Communication Compliance - Overview
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments, and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.
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.
The successful candidate will be responsible for reviewing the electronic communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy. The Communications Compliance team works closely with other teams within Compliance, Legal, Employee Relations, Global Cyber Defense & Intelligence and Engineering. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.
Principal Responsibilities:
Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks) Identify, document, and resolve potential regulatory/compliance issues Partner with coverage area and generate and review monthly reporting summaries on issues identified Liaise with other teams within Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications Create and test new surveillances; create efficiencies with existing surveillances Design, testing, and maintenance of E-Communication surveillance (with particular focus on voice-based surveillances) Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms Partner with Engineering to design, build, and test retention feed solutions for 3rd party applicationsBasic Qualifications:
Bachelor's degree Minimum 2-6 years of experience, preferably in the financial services industry Subject Matter Expertise and practical experience in building out or managing e-communication surveillances Basic understanding about Financial market regulations and Compliance is desirable Additional language skills preferred Attention to detail and strong follow-up skills Excellent oral and written communications skills Strong interpersonal skills Excellent problem-solving skills with the ability to exercise sound and balanced judgment Ability to handle multiple tasks simultaneously and work under pressure Prior document and/or e-discovery review experience a plus Ability to juggle competing priorities and stakeholder concerns Ability to quickly grasp complex concepts, including global business and regulatory matters Professional maturity and confidence in expressing a point of view with senior management
