Job Description

Job Category: Vice President
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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.
BUSINESS UNIT OVERVIEW
The GBM Public Compliance Programmatic Review Execution Team (xe2x80x9cPRETxe2x80x9d) is part of the GBM Public Compliance team which provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses. Programmatic Review Program is comprised of individual reviews that are designed to assess the firm and the business personnel's adherence to the policies and procedures by deploying various testing techniques and as a whole represents one of the key pillars to the GBM Public Compliance's oversight over the businesses.PRET helps execute Programmatic Review Program which is designed to monitor the compliance and regulatory risks across the GBM Public businesses, and works to develop and/or enhance appropriate risk control measures to mitigate such risks. Post development, PRET performs the reviews and maintains oversight of such controls to ensure the continuing integrity, relevance and proper performance of those controls. Based on varying frequency of the reviews, team members are responsible for executing those Programmatic Reviews and interacting with Line Compliance and the business to conclude on results of the reviews. PRET works closely with the Business, Line Compliance and Technology across locations as well as other groups within the Firm. PRET is strategically located in Bengaluru to allow close connectivity with key stakeholders in all time zone.
RESPONSIBILITIES
Development of Reviews
xefx82xa7Partner with Line Compliance to develop and/ or enhance Programmatic Reviews and associatedreview procedures which may include working with various business and Technology to sourceappropriate data.xefx82xa7Apply a consistent approach across businesses, products and regions.
Execution of Reviews
xefx82xa7Perform Programmatic Reviews based on agreed review procedures with Line Compliance.
xefx82xa7Discuss results of the review with Line Compliance and where necessary engage with BusinessPersonnel on any potential findings.
xefx82xa7Monitor that the reviews are being performed properly from a qualitative and timeliness perspective.
xefx82xa7Identify enhancements to existing review procedures based on results of previous reviews or change ofrisk profile of the business it covers
xefx82xa7Participate in periodic risk assessments.
Management Reporting and Escalation
xefx82xa7Monitor and escalate key performance matrix in relation to executing the Programmatic ReviewProgram
xefx82xa7Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activityacross businesses, products and regions.
xefx82xa7Coordinate issues, findings and practices with colleagues across regions and/or divisions.
xefx82xa7Management Reporting
SKILLS / EXPERIENCE:
xefx82xa75+ years of prior experience in Compliance, Surveillance, Internal Audit or other control function.xefx82xa7Working knowledge of securities markets, businesses, products and exchange rules and regulations.xefx82xa7Good interpersonal skills and excellent written/ oral communication skills.xefx82xa7Inquisitive and proactive in identifying risks and proposing solutions.xefx82xa7Ability to work with a variety of senior and junior people, and build smooth working relationships.xefx82xa7Motivate and guide junior team members towards achieving their individual and team goals.xefx82xa7Highest attention to detail.xefx82xa7Ability to work independently - one who is able to prioritize deliverables in a fast moving, high pressure, constantly changing environment.xefx82xa7Strong organizational skills and ability to manage multiple assignments concurrently.xefx82xa7Entrepreneurial inclination - ability to work alone and act as project manager.xefx82xa7Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.xefx82xa7Proficiency in usage of Alteryx/ Tableau/ Excel and other data analytics/ visualization tools.xefx82xa7Build consensus across teams; think and implement stable and scalable solutions.xefx82xa7Strive for personal and collaborative excellence.
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: https://www.goldmansachs.com/careers/footer/disability-statement.html
xc2xa9 The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law. '