• Compliance - RPG Securities - Analyst - Bengaluru

    Location(s) IN-Bengaluru
    Job ID
    2018-46164
    Schedule Type
    Full Time
    Level
    Associate
    Function(s)
    General
    Region
    India
    Division
    Compliance
    Business Unit
    Reg Practice Grp Securities
    Employment Type
    Employee
  • MORE ABOUT THIS JOB

    WHO WE ARE

    The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Bangalore, Hong Kong and other major financial centers around the world.

    Divisional

     

    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

    Principal Responsibilities


    Grasp business, compliance and regulatory rules and policies
    Perform and prepare reports relating to surveillances including but not limited to holdings, positions, personal account trading, restricted trading
    Take ownership and provide feedback on reports, creating checklists and resolving exceptions
    Provide guidance to internal clients on appropriate interpretation and application of policies/procedures
    Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers
    Assist regional compliance in ongoing projects, responding to changes in the firm’s businesses and changes in regulation
    Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
    Taking ownership of processes and controls within the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
    Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology
    Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
    Identify and effectively escalate potential issues to the appropriate person/s
    Communicate findings to compliance colleagues and suggest potential corrective actions to address issues
    Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation

     

    Experience / Skills / Systems Requirements


    Strong communications skills; oral, written and interpretive – must be able to comprehend what is said/written and ask probing questions
    Attention to detail and strong follow-up skills
    Ability to forge strong relationships with colleagues and clients
    Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
    Strong analytical and risk assessment skills
    Ability to handle multiple tasks simultaneously and work under pressure
    Proactive, self motivated and organized
    Ability to prioritize and make decisions in a fast paced-environment
    Good judgment – know when and how to escalate issues
    Inquisitive and investigative skills
    Basic understanding of the fundamentals of the financial industry
    Experience in financial, legal, accounting or regulatory areas is preferred


    Computer Skills


    Microsoft Office Applications
    Visual Basic for Applications programming is a desired but not required skill set

    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., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.