Compliance-Bengaluru-Associate-Business Unit 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.

Global Compliance – Consumer Compliance - Overview

Our business principle #2 states: “We are dedicated to complying fully with the letter and spirit of the laws, rules and ethical principles that govern us. Our continued success depends upon unswerving adherence to this standard.”

It is the role of Goldman Sachs’ Global Compliance Division to help ensure that every employee and client of the firm upholds this principle. Accordingly, the Division is viewed as an integral part of the firm, enabling it to conduct business confidently in complex global markets.

Responsibilities and Qualifications

This role, within the Consumer Compliance focuses on core compliance functions within Consumer Compliance.  The Core Compliance team serves as a central resource for employee related compliance issues.  Core responsibilities will include tracking and follow up of employee trainings and certifications, and review and tracking of employee disclosures, conduct matters and technology provisioning.  The candidate will partner with other divisions and global counterparts to implement and improve compliance workflows.

Primary Responsibilities

• Assist in the implementation and development of Consumer Compliance training programs
• Manage the logistics of Consumer Compliance training and monitor completion / follow-up processes
• Coordinate review, updating, and maintenance of Consumer policies and procedures
• Assist in the project management of Consumer Compliance core programs 
• Assist in the development and maintenance of management reports 
• Assist in the review of employee disclosures (e.g., private investments, outside activities, personal trades, political contributions, etc.)
• Assist in the completion of required ongoing certifications (e.g., supervisory conduct, Volcker, voice recording, business continuity, models, and user defined applications) 

Experience / Skills 

• 3-6+ years of experience working with in banking, compliance and/or auditing 
• Strong communications skills: oral, written, and interpretive - must be able to comprehend what is said/written and ask probing questions
• Analytical/logical mindset and risk assessment skills
• Willingness to learn and to go into details
• Excellent organizational skills with the ability to manage multiples tasks and projects with varying deadlines
• Proactive, self-motivated, and organized
• Ability to prioritize and complete work by required deadlines
• Ability to work independently while exercising good judgement and critical thinking to determine when to escalate issues
• Proficiency with Microsoft Word, Excel, and PowerPoint
• Assist in the implementation and development of Consumer Compliance training programs
• Manage the logistics of Consumer Compliance training and monitor completion / follow-up processes
• Coordinate review, updating, and maintenance of Consumer policies and procedures
• Assist in the project management of Consumer Compliance core programs 
• Assist in the development and maintenance of management reports 
• Assist in the review of employee disclosures (e.g., private investments, outside activities, personal trades, political contributions, etc.)
• Assist in the completion of required ongoing certifications (e.g., supervisory conduct, Volcker, voice recording, business continuity, models, and user defined applications) 

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:

Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity