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Compliance-Bengaluru-Analyst-Financial Crime Controls

Goldman Sachs

Goldman Sachs

IT, Accounting & Finance, 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.

Financial Crime Compliance
Financial Crime Compliance ("FCC") coordinates Goldman Sachs' enterprise-wide anti-money laundering (AML), economic sanctions and anti-bribery compliance efforts. The combined FCC team administers an array of surveillances, due diligence, investigative expertise, and other control processes designed to identify potential money laundering, terrorist financing, bribery, securities fraud and other violations of law.
The Monitoring and Quality (M&Q) Program evaluates the efficacy of the FCC program controls. The team conducts reviews over financial crime related controls to document compliance with regulatory standards and in accordance with the risk appetite of the Firm.
FCC M&Q is seeking an associate to join our team and help assure the standards set for work completed by investigators over FCC controls, is being met. The ideal candidate would have proven experience identifying potential legal, regulatory, or reputational risk, with the discipline to constantly maintain such focus. We look for those who possess sound judgment, curiosity, and are able to adapt to a constantly changing landscape.
Primary Responsibilities:
Review financial crime controls, assuring firm standards are met, and all risks have been addressed
-Collaborate with stakeholders to gather information to conduct monitoring and quality reviews
-Document, analyze, and communicate detailed outcomes related to monitoring and quality reviews
-Identify, then communicate, findings and areas for uplift with key stakeholders
-Draft detailed investigative reports
-Track and validate completion of corrective action plans
Compile and report metrics
-Assist with the implementation of periodic reporting
-Assist with presentations to management
Drive forward projects pertaining to the Monitoring and Quality Program
Basic Qualifications:
The role requires a degree (Bachelors/Masters/JD)
Excellent risk analysis and research skills, and attention to detail
Strong verbal and written communications skills
Ability to prioritize workflows and ensure deadlines are met
Ability to learn new systems and processes quickly
Able to work independently, but still be team-oriented
Experience with project management, multi-tasking and interacting with multiple stakeholders
Experience with standard computer applications, including Microsoft Office and Excel
Willingness to adapt in a fast-paced work environment; strong sense of urgency
Strong work ethic
Preferred Qualifications:
Audit or Quality Assurance experience
Financial Industry knowledge (Global Markets, Wealth Management, in particular)
Financial Crime Compliance experience


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