Compliance, Regulatory Remediation
4 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
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., 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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