Compliance, Financial Crime Compliance, Transaction Surveillance Group, Vice President
MORE ABOUT THIS JOB
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
The Transaction Surveillance Group within Financial Crime Compliance is seeking an analyst/associate with prior brokerage or other financial industry experience. The role would entail daily monitoring of account activity as well as conducting high-level investigations of potentially suspicious activity. The analyst/associate would be expected to perform due diligence, as well as draft investigative reports. The ideal candidate would have strong investigative skills, a background in the financial sector, the ability to collaborate with others, and prior compliance experience. Principal Responsibilities:
- Daily surveillance of brokerage accounts for anomalous, high risk activity.
- Performing in-depth investigations of potentially suspicious activity. Such investigations may require reviewing historical trade activity, interaction with other compliance representatives as well as the business and reviewing public records for negative information.
ABOUT GOLDMAN SACHS
- Prior brokerage experience with extensive knowledge of financial markets and products.
- Prior compliance experience is preferable, prior AML experience is a plus.
- Strong analytical and risk assessment skills.
- Ability to adapt to new changes and new challenges.
- Ability to prioritize work flows and ensure deadlines are met.
- Ability to forge strong relationships with colleagues and clients.
- Ability to work independently and yet still be team-oriented.
- Excellent written and verbal communication skills.
- Proactive, self-motivated, detail oriented, and well-organized.
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 and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers .
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https:// www.goldmansachs.com/careers/footer/disability-statement.html
© The Goldman Sachs Group, Inc., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity