GLOBAL COMPLIANCE

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 Banking & Markets (GBM) Public Compliance is responsible for comprehensively identifying and managing the regulatory, legal, and reputational risks of GBM Public.

Job Summary:

The Core Programs team within GBM Public Compliance oversees the integrated Compliance Program for GBM Public, globally. This includes the periodic Compliance Risk Assessment of GBM Public, GBM Public regulatory change management program, governance of GBM Public Policies and Procedures, Firmwide Designated Market Activity Risk Assessment and implementation of strategic initiatives. We are looking for a team member to lead both the GBM Public Compliance Risk Assessment and the Firmwide Designated Market Activity Risk Assessment. The role will require navigating and problem solving across multiple teams and stakeholders bearing in mind timelines and a senior audience.

Principal Responsibilities:

• Oversee the planning, execution and reporting of the Compliance Risk Assessment for GBM Public
• Oversee implementation of the redesigned Firmwide Designated Market Activity (DMA) Risk Assessment
• Design and execute analytics that assess the quality of the CRA and DMA Assessment
• Project manage the data inputs and outputs of the DMA and CRA Assessment
• Oversee the drafting and publication of the annual DMA Report
• Work closely with Core Compliance, Line Compliance and the Market Conduct Risk Compliance Teams to ensure ongoing alignment across parallel reporting streams.
• Oversee the implementation of strategic initiatives impacting GBM Public Compliance
• Partner with first and second lines of defense to establish and maintain controls across respective divisions; advise, challenge and influence teams.
• Execute various reporting for senior management (both in excel and PowerPoint)
• Participate in compliance-led projects and represent team on firmwide and cross regional projects and working groups
• Track the timely completion of compliance owned action plans
• Liaise with Compliance, Risk, Technology, Legal and other Federation areas
• Respond to ad hoc requests and initiatives

Basic Qualifications :

• Bachelor's degree required
• Minimum of 10 years of experience in compliance or risk management in the financial services industry
• Market/Conduct/Line Compliance Experience
• Experience with compliance risk assessments and/or risk and control self-assessments
• Strong project management skills
• Detail-oriented and able to produce quality work product, even when working under tight timeframes
• Comfortable being independent and a self-starter
• Ability to decipher and navigate ambiguous situations with the aim of developing solutions
• Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment
• Analytical; capable of identifying and distilling relevant information quickly
• Excellent oral and written communication skills
• MS Office proficiency; advanced knowledge of PowerPoint and Excel is preferred

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

Salary Range
The expected base salary for this New York, New York, United States-based position is $115000-$250000. In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end.

Benefits
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience. A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here .