Compliance-GlobalCompliance-Hyderabad-Associate

Global Compliance – Global Compliance Employee Services (GCES) - 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."

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 reputational risk associated with a variety of matters; monitors for compliance with existing and new 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, finance, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

The GCES team is looking for a talented individual to join its Hyderabad team as an Analyst/Associate

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  

 We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: and Qualifications

Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees' outside brokerage accounts and the pre-clearance process for employees' personal trading activities. 

Principal Responsibilities

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 these are efficient, effective and relevant
• Facilitate employees with obtaining regulatory registrations/licensing and  ensure its validity on an ongoing basis
• Support the resolution of issues or concerns related to personal trading 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 helps 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
• Demonstrate resiliency and creativity when under pressure and manage time-sensitive demands from competing stakeholders
• 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
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules like SEBI PIT Rules, FINRA, SEC etc.
• Experience in financial, legal, accounting or regulatory areas is preferred
• Proficient in Microsoft Office Suite and data manipulation; BI Tools like Alteryx, Tableau etc., can be plus. 
• Self-starter who isn't afraid to take initiative and has strong attention to detail
• Proven interest in the fields of business, finance, compliance, legal, regulatory, or audit of banks or securities firm
• Good understanding of financial instruments like Equities, Options, Mutual and Exchange traded funds particularly in Indian Security market like NSE, BSE etc. 
• Organized, has excellent time management skills, can successfully take on multiple assignments in critical situations, and meet time-sensitive deadlines
• Excellent problem solving and analytical skills with the ability to interpret legal material, including state and federal regulations
• Ability to work both independently and as a team player able to forge strong relationships with colleagues and clients

Your Career

Goldman Sachs is a meritocracy where you will be given all the tools to help you develop. At Goldman Sachs, you will have access to excellent training programmes designed to improve multiple facets of your skills portfolio. Our inhouse training programme, 'Goldman Sachs University' offers a comprehensive series of courses that you will have access to as your career progresses. Goldman Sachs University has an impressive catalogue of courses which span technical, business and leadership skills training.

Goldman Sachs is an Equal Employment Opportunity Employer and does not discriminate in employment on the basis of age, race, colour, gender, national origin, disability, veteran status, or any other basis that is prohibited by applicable law.