Internal Comptroller - Compliance - Analyst - Mexico City

MX-Mexico City
Job ID
2017-41025
Schedule Type
Full Time
Level
Associate
Function(s)
Compliance
Americas
Division
Compliance
Regional Regulatory Affairs
Employment Type
Employee

MORE ABOUT THIS JOB

GLOBAL COMPLIANCE

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. 

RESPONSIBILITIES AND QUALIFICATIONS

Position objective:

 

Goldman Sachs Mexico is seeking an person to serve as its Internal Comptrollership Areas (Contraloría interna) The candidate must be a professional with at least 3 years of practice in securities, derivatives, capital markets and  Money Laundering Prevention experience at Audit firms, top-tier law firms or compliance departments. Additionally, the candidate must have proven practical working knowledge of the legal/regulatory and compliance requirements and best practices applicable to broker-dealers in Mexico. Must have good judgment and excellent communication and leadership skills. Should also be highly motivated, self-driven and proactive in working to achieve commercial objectives.

 

  • Help Broker Dealer Chief Compliance Officer and other Global functions to implement CNBV’s guidelines on Internal Control matters, specifically: periodic reporting to Corporate Governance Bodies and CEO; Testing; Transaction Surveillance and Monitoring.
  • Interacting with regulators and industry groups to analyze rule changes and formulate practical solutions to industry-wide issues
  • Participating in regulatory and internal investigations and audits
  • Developing, drafting and maintaining compliance policies and procedures, outlining Firm policies, regulations and best practices
  • Providing guidance and support on anti-money laundering related matters.

 

Skills:

 

  • Candidates must be fluent in both English and Spanish. No candidates will be considered without this requisite.
  • 3+ years Legal/ Compliance/Regulatory background.
  • Knowledge of Mexican legal and regulatory regime applicable to Broker Dealers and derivatives market: Banxico’s general framework, LMV, CNBV’s Circular Única, AMIB self-regulatory regime, CONDUSEF general framework, AML/Sanctions regulation
  • Strong verbal and written communication skills
  • Ability to handle multiple tasks simultaneously, independently and work under pressure
  • CNBV MLRO Certification is definitely a plus.

 

ABOUT GOLDMAN SACHS

The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

 

©The Goldman Sachs Group, Inc., 2017. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.