Compliance, IBD Compliance, Associate, NY
2 weeks 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
Job Summary & Responsibilities
The candidate will be an integral member of the compliance team ("IB Compliance") covering Investment Banking ("IB")
IB offers an array of investment banking activities, including underwriting, lending and advisory services, to clients in a wide variety of industry sectors
The IB Compliance team is responsible for assisting Goldman Sachs bankers with business, regulatory, legal and compliance matters
In addition to working collaboratively with fellow team members and global counterparts in IB Compliance, the candidate will regularly interact with IB professionals, other compliance teams and other Goldman Sachs departments, including Legal, Internal Audit, Finance, Operations, Technology and the Conflicts Resolution Group
The candidate's responsibilities would include:
- Providing advice and compliance oversight to IB personnel on transactions, new business initiatives and significant business changes affecting the firm, as well as compliance, regulatory and reputational issues
- Developing and implementing policies, procedures and best practice standards for IB
- Creating and implementing new controls and surveillances to mitigate risks to the firm by analyzing the transactional processes used in the IB, as well as the activities and actions of individual bankers
- Assisting other compliance teams in monitoring IB activities to help ensure adherence to applicable laws, regulations and firm policies and procedures, including developing and executing surveillance and other forensic compliance programs
- Creating and implementing live and online compliance training programs to educate business professionals on applicable compliance requirements, legal issues and regulatory changes
- Assisting in responding to regulatory inquiries and investigations
- Be detail-oriented and able to produce quality work product, even when working under tight time frames
- Be able to effectively summarize, communicate and defend positions
- Be a critical thinker who is willing to challenge the status quo
- Possess strong analytical, organizational, researching and fact-gathering skills
- Be a proactive team player, who enjoys working collaboratively
- Be a quick learner who can adapt well to a fluid regulatory and business environment
- Possess effective interpersonal and communication skills
- Have the ability to multi-task and adapt to new situations and a dynamic work environment
- Work well under pressure and have a positive, hands-on, "can do" attitude
- Be a quick learner and self-starter, with the ability to work effectively with minimal supervision
- Be creative, with the ability to devise and implement innovative solutions
- Bachelor's degree
- 2-4 years of experience in compliance, law and/or finance, preferably related to investment banking transactions, 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., 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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