Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance.
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.
RESPONSIBILITIES AND QUALIFICATIONS
BUSINESS UNIT OVERVIEW
The Securities Division Compliance Monitoring and Surveillance team ("SMS") is part of the Global Markets Compliance team which provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses.
SMS's primary function is to manage compliance and regulatory risk through the development and oversight of controls.
SMS helps identify and prioritize the compliance and regulatory risks across the Global Markets businesses, and works to develop and / or enhance appropriate risk control measures to mitigate such risks.
The controls include preventative front-end trading system controls and processes, surveillance reports and processes, and management information systems.
Post development, SMS performs surveillance reviews and maintains oversight of! such controls to ensure the continuing integrity, relevance and proper performance of those controls.
On a daily basis, team members are responsible for reviewing a set of surveillance reports and interacting with line compliance and the business to determine whether an exception can be closed or requires further escalation.
Team members also work with colleagues in Audits and Inquiries to provide data and respond to requests from the various regulatory bodies that oversee our business lines.
SMS works closely with the Business, Line Compliance and Technology as well as other groups within the Firm, in the US, EMEA and Asia, and as such, aims to bring a global perspective and globally coordinated approach as well as customized solutions to mitigate local regulatory risks.
Development of Controls
Oversight of Controls
Management Information Systems
SKILLS / EXPERIENCE :
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.