Compliance - Regulatory Compliance -Analyst

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. Youll 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. The Goldman Sachs Bengaluru Office Bengaluru is an integral part of the Goldman Sachs global footprint that works seamlessly as a full and equal partner with Federation and Revenue areas of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. Increased depths in capabilities and functional expertise have resulted in the creation of centers of excellence that drive many critical businesses around the globe. The Compliance Division has established a dynamic team of professionals in Bengaluru. The Bengaluru team plays a central role in the division s global strategy to provide solutions to the firm s traditional business and growth market strategy. We work alongside functional counterparts in many global offices to implement the firm s regulatory and reputational risk management program. Responsibilities and Qualifications Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees outside brokerage accounts and the pre-clearance process for employees personal trading activities. Principal Responsibilities GCES team members work closely with business, legal and other compliance teams within the firm. While working to address various employee related compliance matters - the primary responsibilities of GCES team members include: Apply, develop and implement procedures, practices and controls related to compliance disclosures, licensing/registration and personal trading Research applicable rules and interpret guidance in areas of compliance disclosures, licensing/registration and personal trading Take ownership of processes and controls within the team, drive the development of methods to improve processes and / or controls to ensure these are efficient, effective and relevant Facilitate employees with obtaining regulatory registrations/licensing and ensure its validity on an ongoing basis Support the resolution of issues or concerns related to personal trading matters Work with GS personnel to provide initial and periodic compliance disclosures in a timely manner Review personal brokerage account disclosures of GS personnel, identify areas of risk and proactively provide support in addressing queries Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers for any non-compliance Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm Experience / Skills / Systems Requirements 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 manage time-sensitive demands from competing stakeholders Be unfailingly detail-oriented, so as to consistently produce accurate work product 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 Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules like SEBI PIT Rules, FINRA, SEC etc. Experience in financial, legal, accounting or regulatory areas is preferred Proficient in Microsoft Office Suite and data manipulation; BI Tools like Alteryx, Tableau etc., can be plus. Self-starter who isnt afraid to take initiative and has strong attention to detail Proven interest in the fields of business, finance, compliance, legal, regulatory, or audit of banks or securities firm Good understanding of financial instruments like Equities, Options, Mutual and Exchange traded funds particularly in Indian Security market like NSE, BSE etc. Organized, has excellent time management skills, can successfully take on multiple assignments in critical situations, and meet time-sensitive deadlines Excellent problem solving and analytical skills with the ability to interpret legal material, including state and federal regulations Ability to work both independently and as a team player able to forge strong relationships with colleagues and clients Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.