Bengaluru, Karnataka, India · On-site
GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps strengthen the firm's culture of compliance. Compliance accomplishes this through the …
Skills: Compliance, Risk Management, Forensic Investigations, Data Analysis, Regulatory Reporting
Hong Kong, Hong Kong Island, Hong Kong S.A.R. · On-site
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Richardson, Texas, United States · On-site
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Philadelphia, Pennsylvania, United States · On-site
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Dallas, Texas, United States · On-site
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New York, New York, United States · On-site
$150k–$300k/yr
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New York, New York, United States · On-site
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Atlanta, Georgia, United States · On-site
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Dallas, Texas, United States · On-site
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Skills: AWS, Amazon ECS, Data Engineering, Python, Java
London, England, United Kingdom · On-site
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Bengaluru, Karnataka, India · On-site
GLOBAL BANKING & MARKETS We make markets in and clear client transactions on major stock, options and futures exchanges worldwide. Through our global sales force, we maintain relationships with our clients, receiving ord…
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Bengaluru, Karnataka, India · On-site
Metrics & Analytics Platform – Market Risk Eng - Associate Organization The Core Engineering builds and operates the platforms, applications, data solutions, models, and analytics that power critical processes for the fi…
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Singapore · On-site
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Dallas, Texas, United States · On-site
AWM Private is the primary center for Goldman Sachs’ long-term principal investing activity. Goldman Sachs has operated this business as an integral part of the firm for more than 35 years. AMW Private consists primarily…
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Singapore · On-site
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Singapore · On-site
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Hyderabad, Telangana, India · On-site
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Bengaluru, Karnataka, India · On-site
What We Do At Goldman Sachs, our Engineers don’t just make things – we make things possible. Change the world by connecting people and capital with ideas. Solve the most challenging and pressing engineering problems for …
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Hyderabad, Telangana, India · On-site
Wealth Management Across Wealth Management, Goldman Sachs helps empower clients and customers around the world to reach their financial goals. Our advisor-led wealth management businesses provide financial planning, inve…
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Bengaluru, Karnataka, India · On-site
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporation…
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Bengaluru, Karnataka, India • On-site
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The role involves executing risk-based programmatic reviews and forensic investigations to assess compliance, conduct, and regulatory risks within Global Banking & Markets. You will partner with stakeholders to identify emerging risks, evaluate control effectiveness, and provide data-driven insights to support firmwide compliance standards.
Candidates must hold a bachelor's degree and possess relevant experience in compliance, risk management, or internal audit. Strong analytical skills, proficiency in data analysis tools like Excel, and the ability to communicate complex findings to global stakeholders are essential.
GLOBAL COMPLIANCE
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps strengthen the firm's culture of compliance. Compliance accomplishes this through the firm's enterprise-wide compliance risk management program, which supports effective oversight, controls and accountability across the organization.
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 adherence to applicable laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent monitoring and testing; investigates, surveils and monitors for compliance risks and breaches; and supports the firm's response to regulatory examinations, audits and inquiries.
You'll be part of a global team comprised of professionals from diverse academic and professional backgrounds who are committed to safeguarding the integrity of the firm and maintaining a robust control environment.
Your Impact
We are seeking an Analyst / Sr. Analyst to join the Global Banking & Markets (GBM) Programmatic Reviews & Forensics Team within Compliance. In this role, you will contribute to the execution and enhancement of risk-based programmatic reviews, forensic investigations and thematic analyses designed to assess compliance, conduct, regulatory and reputational risks across GBM businesses.
Additional responsibilities will include identifying emerging risks and designing tests to mitigate regulatory and reputational risks, evaluate the effectiveness of tests, assess adherence to firm policies and regulatory obligations, and provide meaningful insights to stakeholders such as control owners and line Compliance partners across regions.
Our Impact
The GBM Programmatic Reviews & Forensics Team is responsible for executing data-driven programmatic reviews and forensic analysis that support Compliance's oversight of Global Banking & Markets businesses. The team partners closely with Line Compliance and business stakeholders to identify, assess and monitor compliance risks, evaluate the effectiveness of controls and investigate potentially problematic activity. The team operates globally and supports multiple business lines, products and jurisdictions while maintaining alignment with firmwide Monitoring & Testing Standards.
How will you fulfill your potential:
Programmatic Reviews and Monitoring
Execute risk-based programmatic reviews in accordance with firmwide Monitoring & Testing Standards and established review methodologies. Assess review effectiveness and identify methodology or governance enhancements.
Track review progress and support timely completion against target dates while ensuring consistent high-quality output.
Maintain review records, approvals and supporting evidence in line with governance requirements and ensure timely completion.
Assess adherence to applicable laws, regulations, firm policies, procedures and business standards.
Evaluate the design and operating effectiveness of controls implemented to mitigate compliance and conduct risks.
Partner with Line Compliance and stakeholders globally to develop and enhance review procedures and testing methodologies.
Support annual and periodic risk assessments used to inform review coverage and testing priorities.
Identify emerging risks, control gaps and opportunities for enhancement within the control environment evolving regulatory expectations and emerging risks.
Develop dashboards, metrics and management information to support risk oversight and reporting
Engage on inquiries from various regulators (for example, CFTC, SEC, FCA etc.) in relation to the reviews being performed
Conduct forensic reviews and targeted investigations in response to emerging risks, regulatory concerns, trend analysis, regulatory remediation initiatives or identified control weaknesses.
Analyze employee, client, transactional, communications and surveillance-related data to identify patterns, trends and potential risk indicators leveraging data analytics and technology-enabled solutions where appropriate.
Develop thematic insights and recommendations to support risk mitigation and remediation efforts.
Assist in the escalation, documentation and management of significant findings including remediation.
Monitor and escalate, as necessary, key performance and health indicators in relation to execution of various reviews
Partner with Business, Compliance and other control functions globally.
Communicate review scope, observations, findings and recommendations effectively to stakeholders.
Support exception or Issue remediation efforts through validation, tracking and closure testing.
Escalate bottlenecks, delays and data quality issues to relevant stakeholders.
Coordinate with colleagues across regions and/ or divisions on review findings and best practices.
Forensic Reviews and Investigations
Conduct forensic reviews and targeted investigations in response to emerging risks, regulatory concerns, trend analysis, regulatory remediation initiatives or identified control weaknesses.
Analyze employee, client, transactional, communications and surveillance-related data to identify patterns, trends and potential risk indicators leveraging data analytics and technology-enabled solutions where appropriate.
Develop thematic insights and recommendations to support risk mitigation and remediation efforts.
Assist in the escalation, documentation and management of significant findings including remediation.
Stakeholder Engagement
Monitor and escalate, as necessary, key performance and health indicators in relation to execution of various reviews
Partner with Business, Compliance and other control functions globally.
Communicate review scope, observations, findings and recommendations effectively to stakeholders.
Support exception or Issue remediation efforts through validation, tracking and closure testing.
Escalate bottlenecks, delays and data quality issues to relevant stakeholders.
Coordinate with colleagues across regions and/ or divisions on review findings and best practices.
Basic Qualifications:
Bachelor's degree.
Relevant experience in Compliance, Monitoring & Testing, Internal Audit, Risk Management, Surveillance, Investigations or another control function.
Proactive in – identifying risks, proposing plausible solutions, reporting milestones, escalating issues/ concerns/ deadline miss.
Strong analytical, problem-solving and critical thinking skills.
Demonstrate end-to-end ownership and ensure completion of assigned tasks, thereby achieving desired outcomes.
Experience working with large datasets and performing data-driven analysis including proficiency in Excel (pivot tables, VLookups) and PowerPoint
Strong written and verbal communication skills with the ability to summarize observations and present in a clear, concise manner to peers
Ability to work with peers, junior and senior people and build/ develop strong working relationships.
Ability to manage multiple priorities in a dynamic and fast-paced environment.
Strong attention to detail and ability to exercise sound judgement.
Ability to identify opportunities for process improvements
Ability to work independently and collaboratively across global teams.
Knowledge of Global Banking & Markets businesses, products and associated regulatory frameworks.
Familiarity with conduct risk, market conduct, communications surveillance or transaction monitoring programs and other thematic or investigative review approaches.
Demonstrated ability to identify thematic risks, root causes and control enhancements.
Preferred Qualifications:
Knowledge of Global Banking & Markets businesses, products and associated regulatory frameworks.
Familiarity with conduct risk, market conduct, communications surveillance or transaction monitoring programs and other thematic or investigative review approaches.
Demonstrated ability to identify thematic risks, root causes and control enhancements.
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
We aspire to be the world’s most exceptional financial institution, united by our shared values of partnership, client service, integrity, and excellence. Operating at the center of capital markets, we act as one firm, mobilizing our people, capital, and ideas to deliver superior results across our clients’ most complex challenges. For 157 years, Goldman Sachs has delivered world-class execution on a global scale across our leading Global Banking & Markets and Asset & Wealth Management businesses. Apprenticeship is central to our culture, with hands-on coaching and access to leaders who bring decades of experience and expertise. With office locations around the world, we offer a broad range of career opportunities to those who insist on excellence and thrive on performance. Find our Social Media Disclosures here: gs.com/social-media-disclosures
Offices: 200 West Street, New York, New York 10282, US
We aspire to be the world’s most exceptional financial institution, united by our shared values of partnership, client service, integrity, and excellence. Operating at the center of capital markets, we act as one firm, mobilizing our people, capital, and ideas to deliver superior results across our clients’ most complex challenges. For 157 years, Goldman Sachs has delivered world-class execution on a global scale across our leading Global Banking & Markets and Asset & Wealth Management businesses. Apprenticeship is central to our culture, with hands-on coaching and access to leaders who bring decades of experience and expertise. With office locations around the world, we offer a broad range of career opportunities to those who insist on excellence and thrive on performance. Find our Social Media Disclosures here: gs.com/social-media-disclosures
Offices: 200 West Street, New York, New York 10282, US
