Regulatory Compliance Specialist

3 weeks ago

Bengaluru, Karnataka, India Goldman Sachs Full time

Compliance Division Overview

We prevent, detect, and mitigate compliance, regulatory, and reputational risk across the firm, helping to strengthen the firm's culture of compliance.

As an independent control function and part of the firm's second line of defense, we assess the firm's compliance, regulatory, and reputational risk; monitor for compliance with new or amended laws, rules, and regulations; design and implement controls, policies, procedures, and training; conduct independent testing; investigate, surveil, and monitor for compliance risks and breaches; and lead the firm's responses to regulatory examinations, audits, and inquiries.

Global Compliance Employee Services (GCES)

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.

Responsibilities and Qualifications

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 they are efficient, effective, and relevant.
  • Facilitate employees in obtaining regulatory registrations/licensing and ensure their 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 help 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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