Compliance - Securities Division Compliance - Compliance Risk Control Group - Senior Analyst - Bengaluru
Goldman Sachs International
June 12, 2018
MORE ABOUT THIS JOB WHO WE ARE
Goldman Sachs is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net-worth individuals. Founded in 1869, it is one of the oldest and largest investment banking firms. The firm is headquartered in New York and maintains offices in London, Hong Kong, Tokyo, Frankfurt, Bangalore and other major financial centers around the world. We are committed to growing our distinctive culture and upholding our core values which always place our client's interests first. These values are reflected in our Business Principles, which emphasize integrity, commitment to excellence, innovation and teamwork.
BUSINESS UNIT OVERVIEW
The Compliance Risk Control Group ("CRCG") is part of the Securities Division Compliance team which provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses. CRCG's primary function is to manage compliance and regulatory risk through the development and oversight of controls. CRCG helps identify and prioritize the compliance and regulatory risks across the Securities Division businesses, and works to develop and/or enhance appropriate risk control measures to mitigate such risks. The controls include preventative front-end trading system controls and processes, surveillance reports and processes, and management information systems. Post development, CRCG maintains reviews and provides oversight of such controls to ensure the continuing integrity, relevance and proper performance of those controls. CRCG works closely with the Business, Line Compliance and Technology as well as other groups within the Firm. CRCG has team members globally across the US, EMEA and Asia, and as such, aims to bring a global perspective and globally coordinated approach as well as customized solutions to mitigate local regulatory risks. Bangalore is an integral part of the Goldman Sachs global footprint that works seamlessly as a full and equal partner with Federation and Revenue areas of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. Increased depths in capabilities and functional expertise have resulted in the creation of centres of excellence that drive many critical businesses around the globe. The Compliance Division has established a dynamic team of professionals in Bangalore. The Bangalore team plays a central role in the division's global strategy to provide solutions to the firm's traditional business and growth market strategy. We work alongside functional counterparts in many global offices to implement the firm's regulatory and reputational risk management program.
RESPONSIBILITIES AND QUALIFICATIONS Compliance Risk and Control Group (CRCG)
Grasp business, compliance and regulatory rules and policies
Escalate situations, as appropriate, to relevant divisional compliance offices and business unit managers
Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
Leverage strong communication and relationship building skills in frequent interaction with other areas of the firm and professionals across the globe
Complying with internal controls, Policies and procedures and regularly reviewing and updating procedures and training documentation
Drive surveillance related projects with Technology Engineering team to support the work of SDC
Experience / Skills / System requirements: Trade Surveillance and Monitoring
Have strong analytical skills and be able to connect the dots across issues and apply key learnings from one situation to other similar issues.
Possess a general understanding of the current regulatory environment and financial markets and / or securities regulations and rules
Basic understanding of the fundamentals of the financial industry
Proactive, self-motivated and Organized
Good Judgement - Know when and how to escalate issues
Inquisitive and Investigative skills
Strong data analytical skills - ability to work with and parse large volumes of data to generate metrics and reporting
Strong MS Excel, MS Access, data modeling skills
Experience in app development/startups favorable but not mandatory
Be an effective communicator, with strong written and verbal communication skills and be able to distill information into clear and succinct communications.
Keep strategic direction in mind while still working on detailed tasks
Have strong inter-personal skills and work effectively with personnel in different office locations and in different time zones
Effectively navigate differing and at times conflicting priorities of multiple stakeholders
MSc / BSc in Computer Science
Engineering degree from engineering colleges
ABOUT GOLDMAN SACHS The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.