Compliance and Legal, Third Party Risk Management, Associate

1 month ago

New York NY United States Goldman Sachs Full time
Global Compliance

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

ABOUT COMPLIANCE, LEGAL AND THE CONFLICTS RESOLUTION GROUP (CLC)

Compliance, Legal and the Conflicts Resolution Group (CLC) work at the intersection of finance and control functions, enabling the firm to conduct business with the highest level of integrity
The expertise and experience of the three divisions address the legal, compliance and reputational risks facing Goldman Sachs
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
  • Global Compliance prevents, detects and mitigates compliance, regulatory and reputational risks 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 a part of the firm's second line of defense.
  • The Legal Division's advice and counsel provided to all areas of the firm are critical for maintaining our commitments to our clients, regulators and shareholders and to promote our culture of excellence and integrity
    Our goal is to provide legal advice that protects the firm's financial well-being and reputation and assists our various businesses in evaluating the risks associated with completing transactions and other activities.
  • The Conflicts Resolution Group (CRG) is a control function whose mission is to evaluate advisory, financing, principal investing, lending and certain other activities to identify actual or perceived conflicts of interest and assess the potential reputational risks resulting from the potential intersection among new and existing roles, positions and responsibilities that the firm may have.
ABOUT THE ROLE

The CLC Management Team is at the forefront of ensuring the firm's control functions operate in a manner that is best in class for Compliance, Legal and Conflicts
We are seeking a member to propel the Third Party Risk Management framework forward and transform it to be best in class through fostering collaboration with divisional management, the firm's Third Party Risk Management Committee and key vendors
The incumbent should demonstrate comfort with leveraging risk data and technology (e.g., Excel, Power Query, Power BI) to drive business decisions, as well as excellent communication, presentation and interpersonal skills

We are looking for someone who is equal parts visionary and executor
At times, the role will require you to navigate and problem solve with multiple teams and interested parties, bearing in mind timelines and a senior audience
Examples of duties include:
  • Enable CLC to comply with the Firmwide Third Party Risk and Control Framework
  • Provide active engagement across the full spectrum of risks from introduction of Third Parties to ensure appropriate oversight and governance of first line risk taking activities
  • Engage with Risk Partners across the organization, to review control requirements and drive resolution of vendor issues with VROs
  • Facilitate disruption testing in partnership with firmwide operational resilience and VROs
  • Develop and provide periodic global and regional reporting on vendor landscape, risks, controls, and overall status of divisional execution against the program requirements
  • Manage internal and external examinations and engagements (regulatory, audit, compliance)
  • Support and help lead aspects of global TPRM program initiatives and priorities, working with global program and capability leads, as well as the global team overall
    Including development of a process inventory, adoption of controls, issue tagging, enhanced new activities, and overall adherence to ERMF elements
  • Contribute to the production, review and analysis of TPRM presentations for senior leadership
    • Incumbent must be comfortable navigating large data sets and distilling information into an executive level presentation
  • Participate in crafting presentation materials for senior leadership and executing ad-hoc projects on the broader team
  • Develop reporting models using Excel/Power Query/Power BI/Alteryx on Third Party Risk trends
  • Collaborate with multiple stakeholders and vendors on actioning Third Party Risk items to ensure compliance with our Control Framework
BASIC QUALIFICATIONS:
  • 3+ years of experience in Third Party Risk Management or the equivalent experience
  • Bachelor's Degree in Accounting, Finance, Economics or related field
  • Highly customer service oriented with excellent written and verbal communication skills
  • Advanced PowerPoint and Excel skills, preferred experience using Power Query/Power BI and with an ability to learn new reporting tools quickly
  • Exceptional analytical, problem solving, critical thinking and project management skills with a proven track record of execution against deadlines
  • Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders
  • Experience in delivering high quality work products, reflecting attention to detail and analytical prowess
  • Work independently and exercise strong judgment when executing an assigned task
  • Multi-task and have the ability to manage and advance multiple projects simultaneously
  • Identify and effectively escalate potential issues to appropriate person(s)
  • Identifying business needs for new or changed vendor relationships
  • Review, design and implement appropriate KRIs; Perform controls monitoring & testing
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., 2023
All rights reserved

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

Salary Range
The expected base salary for this New York, New York, United States-based position is $85000-$140000
In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end

Benefits
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience
A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here

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