Compliance, Executive Office Compliance, Analyst, New York

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Goldman Sachs USA
  • 18 Oct 17 2017-10-18

Compliance, Executive Office Compliance, Analyst, New York

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.

Executive Office Compliance supports our Executive Office businesses, which include the Office of Corporate Engagement, Government Affairs, Corporate Communications, Investor Relations and Brand Marketing.
You will be part of a team with members from a wide range of academic and professional backgrounds, such as law, banking, technology and media. We are looking for a professional with sound judgment, curiosity and ability to adapt to a changing regulatory landscape, who wants to use their experience to provide world class advisory and compliance guidance to our Executive Office businesses.


The successful candidate would interact closely with key constituents in the Brand Marketing /Corporate Communications/Investor Relations/Government Affairs/Environmental Markets Group/Pine Street groups in a wide variety of work which includes (amongst other things):

  • Providing advice on compliance, regulatory, policy and reputational issues as well as on new business initiatives and significant business changes affecting the firm
  • Developing and implementing global and local policies, procedures and best practice standards
  • Advising and coordinating on new technology (e.g., communication and collaboration platforms)
  • Facilitate and manage the development of a Firmwide training modules
  • Helping to monitor the firm's social media presence and advising the business as they expand their brand architecture
  • Identifying potential risk areas; creating and implementing new controls and surveillances to mitigate these risks
  • Assisting the Compliance teams in monitoring EO activities to help ensure adherence to applicable laws, regulations and firm policies and procedures, including developing and executing surveillance and other forensic compliance programs
  • Utilizing e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance and the misuse of confidential information
  • Creating, facilitating and managing the development of division-wide and targeted department Compliance training
  • Managing compliance-led projects and representing Executive Office Compliance on Firmwide and cross regional projects and working groups
  • Liaising with Executive Office professionals, Technology, Employee Relations, Control Room, Legal and other Federation areas
  • Dealing with ad hoc requests and initiatives
Basic Qualifications:
  • Bachelor's degree required
  • Related coursework and/or work experience preferred
  • Ability to learn quickly and work through complex issues with an eye for reputational risk
  • Understanding of Compliance related internal controls design, implementation and testing
  • Detail-oriented and able to produce quality work product, even when working under tight time frames
  • Exceptional judgment skills- ability to identify and effectively escalate potential issues
  • Attention to detail and strong follow-up skills
  • Excellent oral and written communication skills
  • Knowledge of social media platforms
  • Strong analytical skills and problem-solving
  • Strong control mindset - ability to design robust procedures
  • Exceptional interpersonal skills - engaging, communicative, assertive, persuasive, courteous and the ability to work with people across all levels of seniority
  • Ability to work independently, but still be a strong team player
  • Ability to handle multiple tasks simultaneously and excel under pressure
  • Integrity, motivation and intellectual curiosity
  • Ability and willingness to be "hands on" regarding new technology

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., 2017. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.