Compliance Associate

2 weeks ago


Bengaluru, Karnataka, India Goldman Sachs Full time

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.

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.

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.

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.

Some of the key responsibilities of this role include:

  1. Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
  2. Identify, document, and resolve potential regulatory/compliance issues
  3. Partner with coverage area and generate and review monthly reporting summaries on issues identified
  4. 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
  5. Create and test new surveillances; create efficiencies with existing surveillances
  6. Design, testing, and maintenance of E-Communication surveillance (with particular focus on voice-based surveillances)
  7. Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms
  8. Partner with Engineering to design, build, and test retention feed solutions for 3rd party applications

Some of the key qualifications for this role include:

  1. Bachelor's degree
  2. Minimum 2-6 years of experience, preferably in the financial services industry
  3. Subject Matter Expertise and practical experience in building out or managing e-communication surveillances
  4. Basic understanding about Financial market regulations and Compliance is desirable
  5. Additional language skills preferred
  6. Attention to detail and strong follow-up skills
  7. Excellent oral and written communications skills
  8. Strong interpersonal skills
  9. Excellent problem-solving skills with the ability to exercise sound and balanced judgment
  10. Ability to handle multiple tasks simultaneously and work under pressure
  11. Prior document and/or e-discovery review experience a plus
  12. Ability to juggle competing priorities and stakeholder concerns
  13. 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. We're a leading global investment banking, securities and investment management firm, and we're committed to our mission of helping our clients, shareholders and the communities we serve grow.


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