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Regulatory Compliance Specialist

2 months ago

New York, New York, United States Goldman Sachs Full time

Global Compliance is tasked with the critical function of identifying, mitigating, and managing compliance, regulatory, and reputational risks across the organization. This team is essential in reinforcing the firm's commitment to compliance by establishing robust controls, policies, and procedures. Acting as a vital second line of defense, Compliance evaluates the organization's adherence to laws and regulations, monitors compliance activities, and coordinates responses to regulatory inquiries and examinations.

Department and Role Summary:

The Compliance Testing Group (CTG) is seeking a proactive individual to perform compliance assessments across various business units and divisions. The main goal of CTG is to evaluate adherence to regulations and internal policies through comprehensive testing. The successful candidate will collaborate closely with Compliance and business leaders to enhance organizational processes.

Key Responsibilities:

  • Develop and implement testing methodologies and strategies
  • Collect data, conduct analyses, and document findings
  • Recognize compliance risks and escalate issues as necessary
  • Engage effectively with senior leadership
  • Work collaboratively with global colleagues
  • Manage multiple projects while adhering to deadlines

Essential Qualifications:

  • Bachelor's Degree
  • Understanding of financial products, markets, and regulatory frameworks
  • Strong communication and analytical capabilities
  • Demonstrated integrity, drive, and inquisitiveness

Preferred Qualifications:

  • Background in compliance, legal, or risk management fields
  • Familiarity with financial instruments
  • Language proficiency in relevant languages

About Goldman Sachs:

Goldman Sachs is a premier global investment banking, securities, and investment management firm dedicated to promoting diversity and inclusion. The company provides numerous opportunities for professional development, comprehensive benefits, and wellness initiatives for its workforce.