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Compliance-Bengaluru-Associate-E-Communications Compliance

Goldman Sachs

Goldman Sachs

Marketing & Communications, Legal
Bengaluru, Karnataka, India
Posted on Thursday, June 6, 2024

Job Description

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 – Communication Compliance - Overview

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.

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.

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 Communications Compliance team works closely with other teams within Compliance, Legal, Employee Relations, Global Cyber Defense & Intelligence and Engineering. Team members have the opportunity to manage projects, participate in firm wide initiatives, and conduct training.

Principal Responsibilities:

  • Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other risks)
  • Identify, document, and resolve potential regulatory/compliance issues
  • Partner with coverage area and generate and review monthly reporting summaries on issues identified
  • Liaise with other teams within 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
  • Design, testing, and maintenance of E-Communication surveillance (with particular focus on voice-based surveillances)
  • Manage integration of systems to ensure surveillance quality and behavior across innovative new platforms
  • Partner with Engineering to design, build, and test retention feed solutions for 3rd party applications

Basic Qualifications:

  • Bachelor's degree
  • Minimum 2-6 years of experience, preferably in the financial services industry
  • Subject Matter Expertise and practical experience in building out or managing e-communication surveillances
  • Basic understanding about Financial market regulations and Compliance is desirable
  • Additional language skills preferred
  • 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
  • Ability to juggle competing priorities and stakeholder concerns
  • Ability to quickly grasp complex concepts, including global business and regulatory matters

Professional maturity and confidence in expressing a point of view with senior management

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


© The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity