This is an exciting opportunity for an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to join the firm’s Compliance Testing Group to conduct reviews and investigations covering the various firm businesses and divisions. In performing these reviews and investigations, the individual will check employees’ compliance with regulations and the firm’s policies, procedures, and compliance control infrastructure. In addition, the individual will also be checking the effectiveness and robustness of the firms control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and other Federation Divisions, including, among others, portfolio managers, private wealth managers, traders, sales employees, investment bankers, research analysts, and technologists.

The Compliance Testing Group has a global reach and is comprised of experienced individuals with varying backgrounds and qualifications (including former traders, brokers, auditors, accountants, regulators, prosecutors, compliance professionals, lawyers, and product controllers), located in New York, London, Hong Kong, Tokyo, Salt Lake City, Singapore, Bengaluru, and Warsaw. The individual will work closely with Compliance and business management, and gain an excellent understanding of both the firm’s businesses and the rules and regulations under which the firm operates.

RESPONSIBILITIES:

• Propose methods of investigation and execute plans discussed and agreed with a team leader
• Gather data, perform analyses, and document results
• Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
• Multi-task – have the ability to work on several different investigations with different individuals at the same time
• Leverage strong communication skills to interact with Compliance and business senior management
• Work with stakeholders to implement action plans to mitigate and address compliance risks
• Meet tight deadlines

BASIC QUALIFICATIONS

• Bachelor’s Degree
• Broad knowledge of financial products, markets, and European laws and regulations, in particular FCA and BaFin rules
• Excellent written English skills, with ability to describe complex issues in a clear and concise manner
• Excellent interview, presentation, communication, time management, and analytical skills
• Integrity, motivation, intellectual curiosity, and enthusiasm
• Knowledge of Microsoft Word and Excel
• Fluency in English

PREFERRED QUALIFICATIONS

• Compliance, auditing, testing, legal, or regulatory/law enforcement experience
• Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting or Big 4 financial services advisory firm, or a national regulator
• Fluency in other non-English languages beneficial

ABOUT GOLDMAN SACHS