Compliance, Quality Assurance Compliance, Associate, Dallas / SLC

Goldman Sachs • Dallas, TX

330d

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. Compliance Quality Assurance ("CQA") is a centralized quality assurance function within the Global Compliance Department that covers financial crime compliance ("FCC") controls to help assure the high standards set for work completed by FCC investigators is being met. FCC controls include firm-wide surveillances and enforcement of trading policies, client onboarding and Know Your Customer Controls, transaction/asset movement monitoring, international economic sanctions compliance, anti-bribery and other controls/surveillances that cover all business units and employees worldwide. CQA is seeking an individual to join our team, to develop and implement sampling methodology and conduct quality assurance reviews. The individual will also have the opportunity to develop and implement new reporting tools and dashboards to provide actionable metrics and visualizations that will drive change and facilitate more effective risk management.

Requirements

• Bachelor's Degree
• Excellent risk assessment skills, and attention to detail
• Strong verbal and written communications skills
• Ability to prioritize workflows and ensure deadlines are met
• Ability to learn new systems and processes quickly
• Able to work independently, but still be team-oriented
• Experience/working knowledge of many different product types e.g. fixed-income securities, equity options, and other derivatives such as CDSs and CFDs
• Proficiency with Bloomberg, Reuters and other market data tools and aptitude for research

Nice To Haves

• Experience performing quality checks or testing covering financial crime related topics
• Compliance, auditing, testing, legal, or regulatory/law enforcement experience

Responsibilities

• Review various work items completed by FCC investigators, assuring firm standards are met, and relevant risks have been addressed
• Identify potential insider trading, information barrier, and market manipulation scenarios through quality reviews and analysis of trading alerts
• Research market-moving events and create market color, conduct an analysis of the trading in the context of this market color, develop and support a recommendation through quality reviews.
• Investigate potential trading issues flagged by the business units, such as the Global Markets & Banking and Investment Banking segments
• Identify, then communicate, findings and areas for uplift with FCC managers and investigators
• Drive forward projects addressing quality assurance and control
• Develop reporting tools and workflows to further enhance CQA sampling and reporting framework

What This Job Offers

• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree