Compliance, Regulatory Remediation
1 month ago
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
Business Unit and Role Overview
The Global Compliance Division's Regulatory Remediation Quality Control ("RRQC")Team is responsible for reviewing the design and implementation of policies, procedures and controls to address regulatory expectations and remediation efforts
To perform this function, the team will establish a strategic quality control methodology and work with key stakeholders across the firm (e.g., Business Leaders and Compliance) to effectively challenge remediation efforts and help ensure that such efforts are well designed and sustainable
The RRQC team members will cover various businesses throughout the firm
The RRQC team is seeking a self-starting and team-oriented individual who is also detail-oriented and strategic
The ideal candidate will have experience performing assurance, testing or audit work (e.g., quality control, quality assurance or audit), project management experience and/or transformational responsibilities in a financial institution
The candidate should also possess experience/skills that will enable him/her/they to multi-task and work across the various lines of defense to gain an understanding of the firm's businesses, rules, and regulations which will enable the candidate to provide effective challenge
This is an exciting opportunity for an individual who wants to join a team that will work together to protect the firm, provide effective challenge and be an agent of change
Responsibilities:
- Create and implement a framework for quality review, including sustainability and quality control methodology and standards for deliverables
- Define standards related to assessing the completeness of implementation, accuracy of documentation, and the review and challenge of remediation efforts
- Assess and challenge all implemented controls to ensure proper implementation and sustainability
- Analyze data, policies and procedures and other information to gain an intimate knowledge of the firm's businesses, controls and applicable regulations
- Work with stakeholders across the firm's lines of defense to protect the firm, effectively challenge decisions and propose solutions
- Execute multiple projects at the same time and meet tight deadlines, while being detail-and risk-oriented
- Bachelor's Degree
- Broad knowledge of financial products, markets, and laws and regulations such as FINRA rules, SEC rules, CFPB and OCC regulations, and the Investment Company Act of 1940
- Excellent interview, presentation, written communication, time management, and analytical skills
- Integrity, motivation, intellectual curiosity, and enthusiasm
- Prior experience in compliance, product controllers, legal, regulatory, audit or risk management functions in the firm's various businesses, e.g., consumer banking, asset or wealth management and/or global banking and markets businesses
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
- Financial instruments product knowledge, accounting experience or Consumer Compliance experience (a Financial Engineering qualification, CFA, PRMIA/FRM qualifications or CPA, CRCM)
- Fluency in French, Spanish, German, Japanese, Korean, or Mandarin Chinese is a plus
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 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 $115000-$250000
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
-
New York, NY, United States Goldman Sachs Full timeGlobal Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of complianceCompliance accomplishes these through the firm's enterprise-wide compliance risk management programAs an independent control function and part of the firm's second line of...
-
New York, NY, United States Goldman Sachs Full timeGLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of complianceCompliance accomplishes these through the firm's enterprise-wide compliance risk management programAs an independent control function and part of the firm's second line of...
-
Claims Compliance Remediation Analyst
3 weeks ago
New York, United States MetroPlusHealth Full timeJob DescriptionJob DescriptionEmpower. Unite. Care.MetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion and a collaborative spirit, work with us. You can come to work being proud of what you do every day.About NYC Health +...
-
Claims Compliance Remediation Analyst
2 weeks ago
New York, United States NYC Health Hospitals Full timeMetroPlusHealth provides the highest quality healthcare services to residents of Bronx, Brooklyn, Manhattan, Queens and Staten Island through a comprehensive list of products, including, but not limited to, New York State Medicaid Managed Care, Medicare, Child Health Plus, Exchange, Partnership in Care, MetroPlus Gold, Essential Plan, etc. As a wholly-owned...
-
New York, NY, United States Goldman Sachs Full timeOur division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of complianceCompliance accomplishes these through the firm's enterprise-wide compliance risk management programAs an independent control function and part of the firm's second line of defense, Compliance...
-
Claims Compliance Remediation Analyst
3 days ago
New York City, United States MetroPlusHealth Full timeEmpower. Unite. Care.MetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion and a collaborative spirit, work with us. You can come to work being proud of what you do every day.About NYC Health + HospitalsMetroPlusHealth provides the highest...
-
Claims Compliance Remediation Claims Analyst
3 weeks ago
New York, United States Tandym group Full timeA healthcare company in New York City is looking to add a new Claims Compliance Remediation Analyst to their growing team. In this role, the Claims Compliance Remediation Analyst will be responsible for supporting the Director of Claims Support to ensure claims rules, guidelines, documents, policies and procedures, reporting, job aides, training, and other...
-
Medicare Regulatory Compliance Specialist
5 days ago
New York, United States NYC Health Hospitals Full timeMetroPlusHealth provides the highest quality healthcare services to residents of Bronx, Brooklyn, Manhattan, Queens and Staten Island through a comprehensive list of products, including, but not limited to, New York State Medicaid Managed Care, Medicare, Child Health Plus, Exchange, Partnership in Care, MetroPlus Gold, Essential Plan, etc. As a wholly-owned...
-
Director of Compliance and Regulatory Affairs
4 weeks ago
Harrison, New York, United States Somnia, Inc. Full timeOverview: Director of Compliance and Regulatory Affairs Overview The primary function of this position is to direct and provide oversight of Somnia’s Compliance and Regulatory Affairs Program. The individual will be responsible for planning, implementing, and managing a compliance and regulatory affairs program for Somnia and its affiliated...
-
Medicare Regulatory Compliance Specialist
2 days ago
New York, United States MetroPlusHealth Full timeJob DescriptionJob DescriptionEmpower. Unite. Care.MetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion and a collaborative spirit, work with us. You can come to work being proud of what you do every day.About NYC Health +...
-
Medicare Regulatory Compliance Specialist
2 days ago
New York, United States MetroPlusHealth Full timeEmpower. Unite. Care.MetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion and a collaborative spirit, work with us. You can come to work being proud of what you do every day.About NYC Health + HospitalsMetroPlusHealth provides the highest...
-
New York, NY, United States Compliance Recruitment Solutions Full timeCompliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...
-
Regulatory Change Compliance Officer
4 days ago
New York, United States Société Générale Full time**Responsibilities**: Responsibilities include, but are not limited to: - Monitoring, reviewing, tracking, and disseminating changes to applicable laws, rules, and regulations to determine applicability and impact to SG’s U.S. business operations - Communicating regulatory information to stakeholders across the Firm both in the U.S. and globally -...
-
New York, United States Citigroup Inc. Full timeRemediation, Lending, Media, Regulatory, Program, Lead, Banking, Business Services
-
Regulatory & Compliance Manager
3 weeks ago
New York, United States Elevate Power Management LLC Full timeJob DescriptionJob DescriptionSalary: Regulatory Compliance Manager Job Description: We are seeking a highly skilled and motivated individual to join our team as the Regulatory Compliance Manager at our esteemed hydropower company. The Regulatory Compliance Manager is responsible for providing expert...
-
Compliance Consultancy Director
3 weeks ago
New York, New York, United States Compliance Recruitment Solutions Full timeCompliance Consultancy Director - Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...
-
Compliance Director
2 weeks ago
NEW YORK, United States Wells Fargo & Company Full timeOversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues, deficiencies, or regulatory matters involving MPG - Oversee the development of reporting on the state of compliance in MPG - Oversee, credib Compliance Director, Compliance, Director, Regulatory, Management, Banking, Business Services, Program
-
Global Markets Regulatory Compliance Advisory
1 month ago
New York, United States Crédit Agricole CIB Full timeJob description Business type Types of Jobs - Compliance / Financial Security Job title Global Markets Regulatory Compliance Advisory - Americas Contract type Permanent Contract Job summary Summary Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Vice President is responsible for providing advisory on...
-
Head of Swap Dealer, Volcker
2 weeks ago
New York, NY, United States Larson Maddox Full timeTHE ROLE: Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules. Leading a global team that oversees regulatory requirements and control frameworks. Has experience providing advisory guidance for complex regulations, conducting risk assessments, testing and regulatory implementation. RESPONSIBLITIES: Lead the Swap Dealer, Volcker and IB...
-
Regulatory Compliance Analyst
2 days ago
New York, United States Tekwissen Full timeTitle: Regulatory Compliance Analyst Work Location: Southfield, MI 48075 Duration: 6 Months Job Type: Contract Work Type: Onsite Pay Rate: $52- $52/hr Job Description Dept: SHS Communications Over Engagement Description: The qualified candidate will be able to research government regulations for the Medicare Advantage program. The candidate will apply their...
