Job as Analyst-Regulatory Compliance at Goldman Sachs

Location: Bengaluru, India
Job as Analyst-Regulatory Compliance at Goldman Sachs

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.

About the Job Opportunity

Goldman Sachs is seeking to hire a professional for the job role of Analyst-Regulatory Compliance, for its Global Compliance – Regulatory Practice Group in Bangalore.

Global Compliance – Regulatory Practice Group

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.

The Global Compliance Division consists of several teams, each dedicated to various aspects of the firm’s compliance program. The firm’s Regulatory Practice Group (“RPG”) is one such team and is composed of a dynamic, global team of more than 60 professionals charged with interfacing with regulators on regulatory examinations and inquiries received in jurisdictions worldwide.

Led by a Global Head in New York, the team has members in Bengaluru, Hong Kong, Sydney, Tokyo, London, Warsaw, New York, Dallas and Salt Lake City.

Principal Responsibilities

As the liaison between the firm and its regulators on regulatory compliance matters, the RPG team members work closely with the firm’s business, compliance, and legal teams.

The team is also responsible for producing various reports to senior management, including the Board of Directors periodically and oversees the Compliance Division’s performance across Firmwide Compliance Programs.

The primary responsibilities and expectations of RPG team members include:

  • Ensure that incoming regulatory matters that concern the firm are appropriately tracked

  • Coordinate with internal stakeholders regarding regulatory information requests and the firm’s responses

  • Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers

  • Apply excellent analytical abilities to research and draft comprehensive, accurate and persuasive responses to diverse regulatory requests for information

  • Research applicable regulatory rules and interpretive guidance

  • Take ownership of processes and controls within the team, drive the development of methods to improve processes and/or controls to ensure that these are efficient, effective, and relevant

  • Organize and maintain large volumes of data and documentation in a dynamic and rapidly changing environment

  • Monitor the firm’s progress in completing undertakings made to regulators during the course of inquiries and exams, among other responsibilities

  • Execute and manage global ad-hoc projects based on compliance or business requirements that aid in enhancing the firm’s regulatory compliance

Eligibility

  • 0-2 years of experience in financial, legal, regulatory compliance, risk assessment, or accounting areas preferred

Skills and Competencies

  • Strong communications skills; oral, written, and interpretive – must be able to comprehend what is said/written and ask probing questions

  • Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders

  • Ability to prioritize and make decisions in a fast paced environment

  • Good judgment – evaluate circumstances; consider alternatives and weigh pros and cons; use critical thinking to determine when and how to escalate issues

  • Proactive, self-motivated, and organized

  • Be unfailingly detail-oriented to consistently produce accurate work product

  • Expertise with Microsoft Word, Excel, and PowerPoint

  • Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules

Location

Bangalore (now Bengaluru), Karnataka

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