Compliance, Conduct & Insider Threat, Associate, Richardson TX

Goldman Sachs•Richardson, TX

7d•Onsite

About The Position

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. Financial Crime Compliance team ("FCC") FCC is part of the firm's Global Compliance Division and is responsible for coordinating Goldman Sachs' enterprise-wide anti-money laundering, anti-bribery, and government sanctions compliance efforts. FCC also oversees the Conduct and Integrity team, which is responsible for the firm's Compliance Conduct Program and Business Integrity Program – and for supporting the Firmwide Insider Threat Program. Accordingly, Conduct and Integrity assists with mitigating the risk of misconduct across the firm, including through the development of policies and procedures that address conduct risk, and the management of internal investigations as appropriate.

Requirements

Bachelor’s degree
2-4+ years of relevant work experience (with financial services experience preferable)
Ability to coordinate and resolve conduct-related escalations
Excellent writing, evidence-gathering, and organizational skills
Strong data/document management abilities
Consistent attention to detail and commitment to quality
Effective interpersonal skills and ability to forge strong relationships with colleagues

Nice To Haves

Compliance, auditing, testing, legal, or regulatory/law enforcement experience
Strong academic background
Experience with web-based investigative tools and case-management applications
Prior employment on a global investigative team

Responsibilities

Developing and executing investigations designed to mitigate conduct risk
Identifying areas of conduct risks impacting the firm
Coordinating escalations across a global network of stakeholders
Mastering a range of investigative applications and forensic techniques and methodologies
Communicating and presenting to senior stakeholders
Maintaining written procedures and trainings to support the team’s forensic program
Challenging existing control features and proposing enhancements for continuous improvement