Compliance, Financial Crime Compliance, Monitoring and Assurance Group (MAG), Associate Compliance, Financial Crime Compliance, Monitoring  …

Goldman Sachs
in Richardson, TX, United States
Permanent, Full time
Be the first to apply
Competitive
Goldman Sachs
in Richardson, TX, United States
Permanent, Full time
Be the first to apply
Competitive
Compliance, Financial Crime Compliance, Monitoring and Assurance Group (MAG), Associate
MORE ABOUT THIS JOB
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.

RESPONSIBILITIES AND QUALIFICATIONS
Financial Crime Compliance

Financial Crime Compliance ("FCC") coordinates Goldman Sachs' enterprise-wide anti-money laundering (AML), economic sanctions and anti-bribery compliance efforts. The combined FCC team, which is composed of professionals with extensive law enforcement, regulatory, legal, compliance, forensic consulting, operations and business experience, administers an array of surveillances, due diligence, investigative expertise and other control processes designed to identify potential money laundering, terrorist financing, bribery, securities fraud and other violations of law. The MAG provides risk-driven monitoring and assurance capabilities focused on the efficacy of the FCC program controls.

MAG is seeking an Associate with experience in compliance-related roles within the financial services industry, including experience with Anti-Money Laundering (AML), terrorism financing, sanctions screening, know your customer, and anti-bribery and/or anti-fraud experience in the financial services industry. The ideal candidate will also have experience in project management (including collaborating with others) and conducting investigations (including drafting investigative summaries and communication)

Principal Responsibilities:

  • Conduct investigative reviews of FCC's controls and related partnered controls
  • Draft detailed investigative reports, including opinions, findings and corrective action plans
  • Track and validate completion of corrective action plans
  • Compile and report metrics
  • Present and communicate on opinions, findings and corrective actions to management

Basic Qualifications:
  • The role requires a degree (Bachelors/Masters/JD)
  • At least 12-18 months of prior Financial Crime Compliance experience at a financial institution, a regulator or a legal/audit firm that covered banks
  • Experience with project management, multi-tasking and i nteracting with multiple stakeholders
  • Proficiency with research, conducting investigations and risk analysis
  • Strong and effective written and verbal communication skills
  • Proficient with Microsoft Office products, such as Excel, Access, Word, etc.
  • Willingness to adapt in a fast-paced work environment; strong sense of urgency
  • Ability to prioritize work flows and ensure deadlines are met
  • Strong work ethic

Preferred Qualifications:

  • Audit/Statistical experience
  • Data Analytics skills (Alteryx, Matlab, R, Python, etc.)
  • Experience with Financial Crime Risk Assessments


ABOUT GOLDMAN SACHS
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., 2020. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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