Compliance, Compliance Testing Group (New York) - Vice President
- Job id
- New York
- Full/Part Time
Job Summary & ResponsibilitiesThe 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. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.
Experienced individual for the Compliance Testing Group to conducts reviews covering the Securities Division, Investment Banking, Merchant Banking, Operations, and Technology. The individual will report through to the Global Head of the Compliance Testing Group. The individual should:
• Leverage strong communication skills to interact with compliance and business senior management
• Grasp business and global regulatory policies
• Manage the execution of reviews conducted by team members
• Conduct research, data gathering, analysis and prepare reports
• Identify and effectively escalate potential issues to appropriate individuals
The principal objective of the Compliance Testing Group is to create and execute detailed testing work programs to assess compliance with regulations and firm policies. This is an exciting opportunity for an individual to work within an international team located in New York, Salt Lake City, London, Tokyo, Singapore, and Hong Kong. This role will work closely with compliance and business management, and gain an excellent understanding of both the firm’s businesses and the rules and regulations under which the firm operates.
• Design work programs and work with team members to execute reviews within assigned budgets, and meet tight deadlines to evaluate compliance with rules and regulations.
• Multi-task – have the ability to work on several different reviews with different individuals at the same time
• Review work performed, findings, conclusions and corrective actions required in organized work papers
• Communicate with business management on findings and obtaining consensus on corrective actions required
• Team with colleagues around the globe, to share findings and refine processes
• Bachelor’s Degree
• 5 or more years of auditing experience or other investigative work in the compliance area in the financial services industry, either working for another broker dealer, a law firm, a big 4 firm or a regulator
• People management experience
• Excellent people management skills
• Excellent interview, presentation and written communication skills
• Excellent time management, analytical and communication skills
• Integrity, motivation, intellectual curiosity and enthusiasm
• Knowledge of Microsoft Word and Excel is a must and knowledge of Access and PowerPoint is useful
• Understanding of information technology systems and standard system implementation methodologies
• Financial Instruments Product Knowledge (ACT, CFA, Prmia or FRM qualifications would be useful)
• Fluency in English language, both orally and in writing.
• Understanding of accounting
Please note that we will only respond to those resumes for which we have an interest. Goldman Sachs is an Equal Employment Opportunity Employer and does not discriminate in employment on the basis of age, race, color, gender, national origin, disability, veteran status, or any other basis that is prohibited by applicable law.