Compliance, Compliance Testing Group, Compliance Investigator, Associate

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.
Business Unit and Role Overview 

Compliance Testing Group (“CTG”) is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct compliance reviews covering various firm businesses and divisions.  The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to refine firm processes. CTG’s global team (with locations in New York, Dallas, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, prosecutors, compliance professionals and traders).  The individual will work closely with Compliance and business management and gain an understanding of the firm’s businesses and the rules, as well as regulations under which the firm operates. 

This is an exciting opportunity for an individual who enjoys investigative work and possesses deep knowledge of wealth, asset or portfolio management, and/or risk management functions across a variety of asset classes.  The ideal candidate will possess and leverage their extensive knowledge in wealth or asset management through prior roles (e.g., compliance, financial advisor, sales, product controller, market risk, legal, or audit) to investigate whether activities and practices comply with policies and regulations and the firm’s compliance control infrastructure.  This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and engineers.

Responsibilities: 

• Propose methods of testing and execute plans discussed and agreed with a team leader 
• Gather data, perform analyses, and document results 
• Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals 
• Leverage strong communication skills to interact with compliance and senior business management
• Team with colleagues around the globe to share findings and refine processes
• Execute multiple projects at the same time and meet tight deadline

Basic Qualifications: 

• Bachelor's Degree
• Broad knowledge of financial products, markets, and laws and regulations such as FINRA rules, SEC rules, and the Investment Company Act of 1940
• Excellent interview, presentation, written communication, time management, and analytical skills 
• Integrity, motivation, intellectual curiosity, and enthusiasm 

Preferred Qualifications: 

• Prior experience in compliance, product controllers, legal, regulatory, audit or risk management functions covering asset or wealth management and/or global banking and markets businesses
• Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting    firm, or regulator 
• Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications) 
• Fluency in French, Spanish, German, Japanese, Korean, or Mandarin Chinese 

ABOUT GOLDMAN SACHS
  At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.    We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training a