Compliance, Global Banking & Markets, Management & Strategy
ABOUT GOLDMAN SACHS
At Goldman Sachs, we connect people, capital and ideas to help solve problems for our clients. We are 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 individuals.
ABOUT OUR ROLES IN COMPLIANCE
The Goldman Sachs Group is a bank holding company and a leading global banking & markets, and asset & wealth management firm. Goldman Sachs provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world. We are committed to growing our distinctive culture and upholding our core values which always place our clients’ interests first. These values are reflected in our Business Principles, which emphasize integrity, commitment to excellence, innovation and teamwork.
Global Banking & Markets Public (“GBM Public”) Compliance is responsible for comprehensively identifying and managing the regulatory and reputational risks of the Global Banking & Markets Public business, which covers Equities and FICC (ie sales and trading, across the gamut of products including exchange listed equities and derivatives, currency, fixed income, commodities, OTC derivatives, swaps, structured products).
The Management & Strategy (“M&S”) function is the hub within GBM Public Compliance, with a view across the various constituent GBM Public Compliance business coverage areas and compliance programs, to ensure they are all functioning in concert with each other as a cohesive and unified GBM Public Compliance team. The M&S mandate spans both strategic business planning as well as oversight of day-to-day administrative functions. Specifically, the objectives for M&S include:
- Strategy: Partnering with GBM Public Compliance Management to develop and execute the GBM Public Compliance strategy and business planning, including our role in the Compliance forward strategy and GBM Public-related control uplifts
- Monitoring Performance of Key Deliverables: Tracking of key performance metrics, global projects and remediations (e.g., Board, Regulatory and Internal Audit commitments)
- Management Reporting and Governance: Compliance Management, Board, Committees & Councils, MIS/ KPI/ KRIs reporting (weekly, monthly, quarterly, annual). Oversight of junior members of GBM Public Compliance who assist with such reporting
- Co-ordination of Key Compliance Programs: regional APAC co-ordinator for global centralized compliance programs (e.g., Compliance Training, Policies and Procedures, Supervisory Engagement, Conduct, etc)
- Regulatory Engagement: Assisting with planning, tracking, preparation and execution of relevant regulatory engagements (inspections, exams, inquiries etc)
- People: Partnering with Compliance Management on people initiatives including professional development and training, diversity, retention and mentoring
- Communication: Managing key stakeholder communications and engagement (Business stakeholders and Global Compliance teams and leadership), both in and outside of APAC region
The actual responsibilities assigned to the successful candidate will depend on their experience and the needs of GBM Public Compliance at the time. Candidates who stay in GBM Public Compliance will, over time, have the opportunity to engage in most or all of the activities above.
JOB RESPONSIBILITIES + QUALIFICATIONS
- An analytical mind
- An ability to follow processes and attention to detail
- Strong documentation skills
- Strong communication skills – both written and verbal
- Proactive attitude (“self-starter”) to improve current processes
- An ability to actively collaborate and network with regional and global colleagues (comfort with using Zoom)
- Commercial and business awareness. Compliance experience not mandatory, but candidates with experience with regulatory bodies, banking & finance, accounting and consulting backgrounds, are encouraged to apply
- Microsoft Word, Excel, Powerpoint. Experience with Alteryx and Tableau a plus.
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 GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
© The Goldman Sachs Group, Inc., 2024. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
