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.
The Global Compliance Division

Goldman Sachs business principle #2 states “We are dedicated to complying fully with the letter and spirit of the laws, rules and ethical principles that govern us. Our continued success depends upon unswerving adherence to this standard”. It is the role of Compliance to make sure every employee and client of the firm upholds that principle. This is done through developing policies and procedures, surveillance, training, providing advice on anticipated and existing regulations and monitoring employee, client and firm activities. Compliance enables the firm to conduct business with confidence in extremely complex global markets.

BUSINESS UNIT OVERVIEW: 

CF&O Compliance is part of the team which provides Compliance coverage to CF&O Divisions within the firm. CF&O Compliance provides advice and oversight on a variety of matters to ensure regulatory, reputational and compliance risks across the CF&O are mitigated. In association with its Business Partners, CF&O Compliance ensures there is supervision of people and functions, provides guidance on Regulatory adherence, investigates conduct related matters, and identify risks that may affect the overall health of the CF&O divisions. 

 Principal Responsibilities

Monitoring for compliance with firm policies, including the identification and investigation of conduct related issuesPreparing reports relating to conduct and non-conduct metrics for supervisory meetingsSeeking and implementing automated solutions (for manual processes and anticipated future requirements)Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globeIdentify and effectively escalate potential issues to the appropriate person/sCommunicate findings to compliance colleagues and suggest potential corrective actions to address issuesComplying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation

Experience/Skills

Able to grasp new concepts quickly and work in a team environment.Excellent interpersonal and communication (written and verbal) skills.Self-starter, inquisitive, enthusiastic with a strong analytical mind-setAbility to handle multiple projects, deadlines, personalities, and broad-based coverage.Ability to work in a fast-paced, team-oriented environment.Effective problem solver, attention to detail and ability to work to tight deadlines under pressure.Risk management focusKnowledge and understanding of Excel, PowerPoint, Word, and adaptability to other software products.Knowledge of BI tools like Alteryx and Tableau would be an advantage but not mandatory.   ABOUT GOLDMAN SACHS
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