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. OUR IMPACT Marketing Materials Compliance ("MMC") within Global Banking & Markets Public Compliance reviews trade ideas, detailed market analysis, summaries of Investment Research, educational materials, and other written materials regarding financial products (e.g., equities, fixed income, currencies, commodities). MMC works closely with other departments, such as wider Divisional Compliance, ECommunications Compliance, Information Technology, Legal, and Internal Audit. MMC performs compliance oversight within a fast-paced environment where teamwork and collaboration are highly valued. Our focus is on practical implementation of laws/regulations. HOW YOU WILL FULFILL YOUR POTENTIAL
Review written materials for potential conflicts of interest, compliance with rules, regulations, and firm policies and procedures, cross-border restrictions, copyright and data licensing issues, and other regulatory or reputational risks to the firm. (70% of daily tasks)
Undertake surveillance of compliance with various written communications policies
Work with Divisional Compliance and Legal to analyze rule changes and provide input on updating policies regarding written communications
Liaise with Technology on system changes and enhancements
Analyze surveillance results and data to produce management reports
Create, update, and deliver training regarding applicable laws, regulations, policies and procedures, and methods and best practices for reviewing communications
Identify potential targets for investigation and conduct associated surveillance
Draft and maintain disclosures and risk factors to be used in marketing materials
Participate in regulatory and internal investigations and audits
SKILLS AND EXPERIENCE WE ARE LOOKING FOR
Bachelor's degree: Advanced degree or experience in securities industry a plus
Reading/writing language proficiency skills for reviewing and commenting on marketing materials prepared in English
Good drafting ability: Drafting will be primarily focused on providing comments on written material and drafting short policy/guideline documents and trainings - clarity and brevity is essential
Must be a proactive team player with a strong sense of urgency and ability to get along with others
Must be comfortable working with colleagues in different geographic regions and time zones
Must work well under pressure
Excellent multi-tasking abilities required
Ability to implement solutions is critical
Strong interpersonal, communication (live, phone, email), and analytical skills
Must be comfortable addressing problems where there is no clear cut answer and making decisions based on incomplete information
Should be detail oriented
Must be comfortable issue-spotting
Fluency in one or more of the following languages is a plus: German, Chinese (Mandarin), Spanish, or French
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
