Compliance, Regulatory Practice Group, Vice President - Sydney

AU-Sydney
Job ID
2017-41183
Schedule Type
Full Time
Level
Vice President/Executive Director
Function(s)
Compliance
Asia Except Japan
Division
Compliance
Regulatory Audits & Inquiries
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

YOUR IMPACT 

 

Are you interested in building relationships with various regulators, driving the firm’s strategic risk awareness, and gaining exposure to global regulatory discussions and cross-divisional partnerships? We are looking for an experienced professional to join our Regulatory Practice Group (“RPG”) who wants to use their legal and/or compliance skillset in a highly collaborative and dynamic environment.

 

OUR IMPACT

 

This position is an integral member of the RPG. The RPG is responsible, among other things, for interacting with the firm’s regulators globally in connection with inquiries, inspections and exams. In general, RPG is responsible for documenting receipt of regulatory information requests and notifying relevant internal parties of the matter; coordinating with relevant internal parties in the collection of complete and accurate information responsive to the request; drafting, preparing, organizing, and submitting the response in a timely manner; and coordinating the recording and tracking of findings and remediation of regulatory undertakings. Ancillary to this role are regulatory affairs functions such as maintaining regulatory relationships and interactions, coordinating regulatory consultation comments, track regulatory policy changes and drafting, updating of firmwide compliance policies and procedures.

 

HOW YOU WILL FULFILL YOUR POTENTIAL

  • Coordinate responses to regulatory inquiries, inspections and exams and regulatory communication
  • Track regulatory findings and observations and any remedial commitments to regulators
  • Build and maintain regulatory relationships in Australia
  • Monitor firm wide correspondences with the Australia and New Zealand regulators
  • Partner with Legal Department to give appropriate regulatory advice to the other areas of the firm

SKILLS & EXPERIENCE WE’RE LOOKING FOR

  • Excellent team work and interpersonal skills
  • Excellent organisational skills
  • Ability to identify and balance commercial considerations with regulatory and legal risk
  • Ability to demonstrate initiative and commitment combined with values reflecting personal integrity and ethics
  • Attention to detail and thoroughness of execution
  • Strong analytical and judgment skills
  • Excellent communication skills, written and verbal
  • Minimum 5 years’ experience in compliance, legal, regulatory, audit or operational support areas of investment banks or securities firms

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.