Compliance, Securities Division Compliance: Management & Strategy Group, Analyst

Goldman Sachs - New York, NY (30+ days ago)4.1


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 Securities Division Compliance (“SDC”) Management & Strategy Group (“MSG”) develops SDC reporting as well as drives technological developments to support the work of SDC. In addition, SDC MSG tracks aged Internal Audit findings, findings from the Compliance Testing Group as well as policies and procedures owned by SDC. MSG also runs SDC’s regulatory reform efforts, serves as a central resource for SDC projects, co-ordinates the sharing of information within SDC, and develops training for SDC. SDC MSG also fulfils the responsibilities of the Office of the Chief Compliance Officer (“Office of the CCO”), including preparation and filing of the CCO Annual Reports and the Primary Dealer Reports. SDC MSG will also create quarterly supervisory decks for SDC supervisors.


Core Team Responsibilities:
  • Coordinate review, updating and maintenance of SDC policies and procedures
  • Assist in the development and implementation of training programs
  • Assist in the project management of MSG projects
  • Become involved in the firm’s regulatory reform efforts
  • Maintain SDC personnel information in firm systems
  • Assist in the closure of aged findings and develop reporting on that aging
  • Assist in the development and maintenance of management reports
Other Team Responsibilities:
  • Develop Technology solutions for the work of SDC personnel
Open position is at the analyst level.

In order to be successful in this position, candidates must be able to:
  • Keep strategic direction in mind while still working on detailed tasks
  • Work as part of a team, where team members are frequently not within the same reporting lines\
  • Work effectively with personnel in different office locations and in different time zones
  • Distill information into clear and succinct communications and presentations
  • Navigate differing priorities of stakeholders
Basic Qualifications
  • BA/BS
  • Ideally have Legal or Technology background
  • Excel and powerpoint skills

ABOUT GOLDMAN SACHS The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

©The Goldman Sachs Group, Inc., 2017. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.