Compliance Associate
2 weeks ago
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:
- 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 applications
Some of the key qualifications for this role include:
- 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. 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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