Analyst / Associate

About Goldman Sachs

• A leading global investment banking, securities, and investment management firm founded in 1869.
• Headquartered in New York with offices worldwide.
• Commits people, capital, and ideas to help clients, shareholders, and communities grow.

Global Compliance

• Prevents, detects, and mitigates compliance, regulatory, and reputational risk across the firm.
• Strengthens the firm’s culture of compliance through an enterprise-wide compliance risk management program.
• Acts as an independent control function and part of the firm’s second line of defense.
• Assesses 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.
• Leads the firm’s responses to regulatory examinations, audits, and inquiries.

CTG - Business Unit And Role Overview

• Compliance Testing Group (CTG) is seeking an individual to conduct investigative work covering various firm businesses and divisions.
• CTG's principal objective is to create and execute detailed testing to assess compliance with regulations and firm policies.
• Works closely with Compliance and business management to identify compliance, conduct, and reputational risks.
• Refines firm controls as appropriate.
• CTG is a global team with locations in Dallas, New York, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong.

Key Responsibilities

• Propose methods of testing and execute plans 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.
• Multi-task work on several different reviews with different individuals simultaneously.
• Leverage strong communication skills to interact with Compliance and business senior management.
• Team with colleagues globally to share findings and refine processes.

Requirements & Tech Stack

• Broad knowledge of financial products and markets, as well as laws, rules, and regulations, such as FINRA and SEC rules.
• Integrity, motivation, intellectual curiosity, and enthusiasm.

Qualifications

• Bachelor’s Degree.
• Excellent interview, presentation, written communication, time management, and analytical skills.
• Compliance, auditing, testing (i.e., Compliance testing, controls testing, risk testing), legal, or regulatory/law enforcement experience (Preferred).
• Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator (Preferred).
• Familiarity with Business Intelligence and AI tools (Preferred).
• Fluency in French, Portuguese, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese is a plus.