Legal Job opening : Compliance – IBD Compliance – Associate at Goldman Sachs

About Company

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.

Responsibilities and Qualification

  • Provision of advice to Investment Banking Division (including Transaction Banking) personnel on policies and procedures
  • Controls testing and monitoring. Create controls, design and conduct surveillance and/or forensic reviews to assess the effectiveness of controls and ensure adherence to laws, regulations and firm policies and procedures of IBD activities
  • 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
  • Reviewing marketing materials for a variety of investment banking transactions
  • Participating in global IBD Compliance projects and initiatives
  • Preparation of clear and concise presentations and reports to deliver to managers
  • Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers
  • Work with regional compliance in adoption of new processes, including training and knowledge share

Preferred Qualifications

  • Bachelor’s degree required
  • 3+ years of work experience as a compliance officer or in a legal, risk, audit or technology-related role
  • Experience with data analytics platforms (e.g., Python, Alteryx) and data visualization and reporting tools (e.g., Tableau), and proficiency in Excel, PowerPoint and other technology tools
  • Be a quick learner and self-starter, with the ability to work effectively with minimal supervision while simultaneously contributing to the team
  • Ability to clearly communicate compliance requirements and identify opportunities for process improvements
  • Excellent analytical thinking and problem solving skills
  • Organized, detail-oriented, enthusiastic and professional with a strong work ethic Excellent written and verbal communication skills with the ability to summarize findings and present in a clear, concise manner to peers and managers
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Ability to prioritize work flows and ensure deadlines are met
  • Ability to prioritize, adapt to new changes and challenges in a fast-paced environment

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