Compliance - Consumer Compliance - Associate

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. 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. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

**The Goldman Sachs Bengaluru Office**

Bengaluru is an integral part of the Goldman Sachs global footprint that works seamlessly as a full and equal partner with Federation and Revenue areas of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. Increased depths in capabilities and functional expertise have resulted in the creation of centers of excellence that drive many critical businesses around the globe.

The Compliance Division has established a dynamic team of professionals in Bengaluru. The Bengaluru team plays a central role in the division’s global strategy to provide solutions to the firm’s traditional business and growth market strategy. We work alongside functional counterparts in many global offices to implement the firm’s regulatory and reputational risk management program.

**Global Compliance - Consumer Compliance - Overview**

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.

**Responsibilities and Qualifications**

**Principal Responsibilities**
- Assist in the implementation and development of Consumer Compliance training programs
- Manage the logistics of Consumer Compliance training and monitor completion / follow-up processes
- Manage the approval of technology approval requests
- Coordinate review, updating, and maintenance of Consumer policies and procedures
- Assist in the project management of Consumer Compliance core programs
- Assist in the development and maintenance of management reports
- Assist in the review of employee disclosures (e.g., private investments, outside activities, personal trades, political contributions, etc.)

**Experience / Skills / Systems Requirements
- Minimum 3-5 years of experience, preferably in the financial services industry
- Strong communications skills: oral, written, and interpretive - must be able to comprehend what is said/written and ask probing questions
- Solid analytical/logical mindset and risk assessment skills
- Excellent organizational skills with the ability to manage multiples tasks and projects with varying deadlines
- Proactive, self-motivated, and organized
- Ability to prioritize and complete work by required deadlines
- Ability to work independently while exercising good judgement and critical thinking to determine when to escalate issues
- Proficiency with Microsoft Word, Excel, and PowerPoint

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.

© The Goldman Sachs Group, Inc., 2021. All rights reserved.

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity