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 AND ROLE OVERVIEW

Controls, Finance, and Operating (“CF&O”) Compliance provides compliance coverage to the Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Corporate Planning Management, Risk, Tax and Human Capital Management divisions (“CF&O divisions”). This includes conducting risk identification, measurement and assessment, monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues, participating in firm responses to regulatory examinations, audits and inquiries, performing surveillance and investigations of business activities, testing the effectiveness of controls, writing policies and procedures, communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiative.

RESPONSIBILITIES AND QUALIFICATIONS

ROLE AND RESPONSIBILITIES

As part of the India CF&O Compliance team, you will provide compliance support and coverage for the firm’s CF&O divisions. You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and business unit priorities.  To fulfill this role and responsibilities, you will need to:

Advise, challenge, and influence the assigned CF&O divisions and teams regarding financial regulation implementation, firmwide and divisional policies, and compliance riskBrief senior leadership on risks identified and ensure stakeholder engagement Analyze and conduct ongoing reviews of regulations, rule trends and enforcement actions to assess impact and identify potential gapsPartner with impacted groups to ensure the business can support new rules and requirementsIdentify, investigate, and manage compliance issues Coordinate with counterparts in other jurisdictions to ensure the firm is meeting related regulatory requirements globallyAs needed, support development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirementsRecommend and undertake compliance testing and forensic investigatory workDevelop and deliver communications and training Coordinate with the broader Compliance team on specific initiatives and projects

QUALIFICATIONS AND SKILLS

A strong candidate for Controls, Finance, and Operating Compliance will satisfy some or all of the following criteria:

At least 7-8 years of relevant work experience obtained in compliance, risk management, audit or control functionBachelor’s degree or higher.  Professional degree in a related area (law, finance, risk, information security) is a plusExperience in reading and interpreting regulations, laws and statutesKnowledge of regulations, practices and markets infrastructureUnderstanding of the global regulatory environmentExperience interacting with regulators, or supporting regulatory audits or inquiries

A strong candidate for CF&O Compliance will possess the following skills:

Clear, concise communications skills; able to communicate with impact at senior levelsAble and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk managerWork independently. Exercise sound judgment, ethics and integrityFast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutionsWell organized with the ability to manage both longer term projects and daily, often time-sensitive, escalationsProficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks

Team-oriented and supportive of others’ success; comfortable representing a team work product to stakeholders

ABOUT GOLDMAN SACHS
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