Compliance - Securities Division Compliance - SMS - Associate/Vice President - Bengaluru

  • Competitive
  • Bangalore, Karnataka, India Bangalore Karnataka IN
  • Permanent, Full time
  • Goldman Sachs International
  • 19 Aug 18 2018-08-19

Compliance - Securities Division Compliance - SMS - Associate/Vice President - Bengaluru

MORE ABOUT THIS JOB
WHO WE ARE

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world.

GLOBAL COMPLIANCE DIVISION

Compliance is responsible for developing policies and procedures, surveillance, training, providing advice on anticipated and existing regulations and monitoring employee, client and firm activities. Compliance enables the firm to conduct business with confidence in extremely complex global markets.

RESPONSIBILITIES AND QUALIFICATIONS
Compliance Risk Control Group (CRCG) as part of the Securities Division Compliance team provides coverage and support to the Equities Sales and Trading business for Asian countries. The primary responsibility of the CRCG team is to monitor and perform surveillances, enhance surveillance control, perform oversight and regular review of polices and procedures for various Asian countries.

Principal Responsibilities:

  • Grasp business, compliance and regulatory rules and policies
  • Perform and prepare reports relating to surveillances including but not limited to holdings, positions, personal account trading, restricted trading
  • Take ownership and provide feedback on reports, creating checklists and resolving exceptions
  • Provide guidance to internal clients on appropriate interpretation and application of policies/procedures
  • Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers
  • Assist regional compliance in ongoing projects, responding to changes in the firm's businesses and changes in regulation
  • Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
  • Taking ownership of processes and controls within the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
  • Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Technology as well as acting in partnership with Technology
  • Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
  • Identify and effectively escalate potential issues to the appropriate person/s
  • Communicate findings to compliance colleagues and suggest potential corrective actions to address issues
  • Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation
Experience / Skills / Systems Requirements:

  • Strong communications skills; oral, written and interpretive - must be able to comprehend what is said/written and ask probing questions
  • Attention to detail and strong follow-up skills
  • Ability to forge strong relationships with colleagues and clients
  • Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
  • Strong analytical and risk assessment skills
  • Ability to handle multiple tasks simultaneously and work under pressure
  • Proactive, self motivated and organized
  • Ability to prioritize and make decisions in a fast paced-environment
  • Good judgment - know when and how to escalate issues
  • Inquisitive and investigative skills
  • Basic understanding of the fundamentals of the financial industry
  • Experience in financial, legal, accounting or regulatory areas is preferred
  • Computer skills:
  • Microsoft Office Applications
  • Visual Basic for Applications programming is a desired but not required skill set


ABOUT GOLDMAN SACHS
The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.