Compliance - GMC FICC - Associate - London

Goldman Sachs
Closing date
5 Jul 2021

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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.

Functional Responsibilities :
  • Review and Oversight of Controls
  • Review of surveillance exceptions with Business Personnel and Compliance Officers.
  • Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
  • Oversight of exception reviews generated by detective controls.
  • Identify enhancements to existing controls.
  • Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
  • Participate in periodic risk assessments. Development of Controls
  • Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.
  • Apply a consistent approach across businesses, products and regions.
  • Develop associated functional specifications and testing scripts.
  • Develop and/or enhance systematic processes for escalating issues.
  • Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.
  • Coordinate issues, findings and practices with colleagues across regions and/or divisions.
  • Generation of management reports / Management information Systems.
  • Reporting of exception reviews generated by detective controls.
Preferred Qualifications:
  • Inquisitive and proactive in identifying risks and proposing solutions.
  • Good interpersonal skills and excellent written/oral communication skills.
  • Ability to work with a variety of senior and junior people, and build smooth working relationships.
  • Highest attention to detail.
  • Good team player - one who is able to prioritize in a fast moving, constantly changing environment.
  • Entrepreneurial inclination - ability to work alone and act as project manager.
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.
  • Ability to handle multiple tasks simultaneously and work under tight deadlines.


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.

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