Regulatory Compliance Associate

4 weeks ago

Bengaluru, Karnataka, India Goldman Sachs Full time

About the Role

We are seeking a highly skilled Regulatory Compliance Associate to join our team in Bengaluru. As a key member of our Compliance Division, you will play a critical role in preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm.

Key Responsibilities

  • 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 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.
  • 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.

Requirements

  • Strong communications skills; oral, written, and interpretive.
  • 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.

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.

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