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.
RESPONSIBILITIES AND QUALIFICATIONS
Are you passionate about working as a Compliance Officer in a leading global investment banking, securities and investment management firm? We’re looking for a professional to join our Electronic Communications Compliance team that is responsible for reviewing the electronic communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy.
The E-Communications team works closely with Compliance, Legal, Employee Relations, Information Security and Technology. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.
HOW YOU WILL FULFILL YOUR POTENTIAL
Utilize e-communications surveillance systems to review messages for content, appropriateness and regulatory compliance, and the misuse of confidential information (among other things)
Identify, document and resolve potential regulatory/compliance issues
Create monthly reporting summaries on issues identified
Liaise with Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications
Liaise with global E-surveillance team to ensure consistency on handling issues identified
Surveillance creation and testing; create efficiencies with existing surveillances
SKILLS & EXPERIENCE WE’RE LOOKING FOR
Bachelors degree required
Basic understanding of the fundamentals of the financial industry
Fluency in English and Chinese is essential as this role will interact with both English and Chinese speaking colleagues/clients
Prior document and/or e-discovery review experience
Industry background preferred
Attention to detail and strong follow-up skills
Excellent oral and written communications skills
Good 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
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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.