• Compliance - IBD Compliance - Vice President - Bengaluru

    Location(s) IN-Bengaluru
    Job ID
    2019-56867
    Schedule Type
    Full Time
    Level
    Vice President/Executive Director
    Function(s)
    General
    Region
    India
    Division
    Compliance
    Business Unit
    Regulatory Practice Grp
    Employment Type
    Employee
  • MORE ABOUT THIS JOB

    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.

     

    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, trading, and technology. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 

     

    BUSINESS UNIT OVERVIEW

     

    IBD Compliance provides divisional compliance coverage to the Investment Banking Division of Goldman Sachs. IBD Compliance is seeking a proactive, technology oriented and efficiency focused analyst-level compliance professional to join our global team. You will be based in Bengaluru and will work closely with a dynamic team of IBD Compliance colleagues around the world covering the Investment Banking Division.

    RESPONSIBILITIES AND QUALIFICATIONS

    Functional Responsibilities: 

    • Provision of advice in real time to Investment Banking Division personnel on compliance, regulatory, legislative, policy and reputational issues, as well as on new business initiatives and significant business changes affecting the firm
    • Analysis of large datasets and creation of reports summarizing findings
    • Productivity and efficiency related projects with focus on workflow optimization within IBD Compliance
    • Creation of controls and conducting surveillances to verify adherence to regulations and firm policies
    • Designing and delivering live and online training on policies and procedures
    • Reviewing marketing and pitch materials for a variety of investment banking transactions
    • Preparation of clear and concise presentations and reports to deliver to senior managers 

    Preferred Qualification: 

    • 5+ years of work experience as a compliance officer or in a legal, risk, audit or technology-related role
    • Ability to clearly communicate compliance requirements and identify opportunities for process improvements
    • Experience working with large datasets, data analytics platforms (g., Alteryx ) and data visualization and reporting tools (e.g., Tableau), and proficiency in Excel (pivots, VLOOKUPs), PowerPoint and other technology tools
    • Excellent analytical thinking and problem solving skills
    • Excellent organizational and project management skills
    • Excellent written and verbal communication skills with the ability to summarize findings and present in a clear, concise manner to peers and senior managers
    • Ability to work independently while simultaneously contributing to the team
    • Ability to adapt to new changes and challenges in a fast-paced environment
    • Ability to prioritize work flows and ensure deadlines are met

     

    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., 2019. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.