Job Duties: Associate, Regulatory Compliance with Goldman Sachs & Co. LLC in New York, New York. Support and contribute to creating and executing detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to identify compliance, conduct, and reputational risks, and refine firm controls as appropriate. Propose methods of testing and execute reviews discussed and agreed with a team leader to evaluate compliance risks and adherence to laws, regulations, and internal policies. Gather data, perform analyses, and document testing results in accordance with the workplan and testing/investigation methodologies. Identify potential compliance, conduct, and reputational risks, and effectively escalate to appropriate individuals. Report on test results, findings, and recommendations, and document in compliance case management software timely. Working with colleagues around the globe to share findings and refine firm controls and processes. Multi-task work on several different reviews with different individuals at the same time. Leverage strong communication skills to interact with Compliance and business senior management.
Job Requirements: Bachelor’s degree (U.S. or foreign equivalent) in Finance, Taxation, Accounting, Business Analytics, Legal or a related field and three (3) years of experience in the job offered or in a related role. Must have three (3) years of experience with: interview, presentation, written communication, time management, and analytical skills; compliance, auditing, testing (i.e., Compliance testing, controls testing, risk testing), legal, or regulatory/law enforcement experience; experience drafting and narrating risk incidents into a document; recommending solutions to improve controls and errors through analyzing data and records and monitor completion of risk mitigation actions; and presenting relevant findings and issues identified during investigations and testing to key stakeholders and providing recommendations of mitigating actions. Must have two (2) years of experience with: broad knowledge of financial products and markets, as well as laws, rules and regulations, such as FINRA and SEC rules; and experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator.
Salary Range: Annual base salary for this New York, New York-based position is $89,000 - $157,000.
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