MORE ABOUT THIS JOB GLOBAL COMPLIANCE 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 E-Communication Surveillance Job Description
The 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.
The successful candidate will be responsible for reviewing the electronic communications of Goldman Sachs employees to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law, the rules & regulations governing the securities and banking industries, as well as internal firm policy. The E-Communications team works closely with Compliance, Legal, Employee Relations, Information Security and Technology. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.
Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other things)
Identify, document and resolve potential regulatory/compliance issues
Partner with coverage area and generate and review monthly reporting summaries on issues identified
Liaise with Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications
Create and test new surveillances; create efficiencies with existing surveillances
Additional language skills (Mandarin/Cantonese/Japanese/Korean)
Attention to detail and strong follow-up skills
Excellent oral and written communications skills
Strong interpersonal skills
Excellent problem solving skills with the ability to exercise sound and balanced judgment
Ability to handle multiple tasks simultaneously and work under pressure
Prior document and/or e-discovery review experience a plus
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.