Compliance, Global Investment Research, Associate / Vice President, Sydney Compliance, Global Investment Research, Associate  …

Goldman Sachs
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Goldman Sachs
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Compliance, Global Investment Research, Associate / Vice President, Sydney

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 defence, 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.

Business Supported: Global Investment Research Division (GIR). From macroeconomic forecasts to individual stock analysis, GIR develops tools and insights to help shape investment strategies for clients and the firm. GIR analysts work on client-focused research in the equity, fixed-income, currency, and commodities markets, mining big data that enters markets around the world each day to identify game-changing insights.


Substantial initiative, creativity and drive, together with the ability to work closely and comfortably with research analysts, are essential attributes of all group members. Because the role requires substantive interaction with research analysts and advising on rules and laws impacting research, candidates with regulatory, compliance, legal or other investigatory experience, who can function in a compliance or legal arena, are being sought. Work with global team members located in New York, Singapore, Hong Kong, Tokyo, Shanghai, Bengaluru, and London.
  • Regulatory Matters - helping to manage the division's responses to requests for information from regulators, keeping apprised of latest regulatory developments as it relates to GIR
    Advisory and Compliance Oversight. Providing advice to the business, including senior management, on regulatory and reputational related matters, and acting as a resource on a daily basis for compliance and policy issues
  • Policies and Procedures - ensuring that the division has appropriate policies and procedures in place. Assessing, designing and driving completion of necessary upgrades, updates and new policies. Working closely with Legal and the business to fulfill requirements
  • Training - designing, executing and delivering live and online training on divisional policies and procedures
  • Controls / Surveillance / Testing - creating controls, roll out surveillance and monitoring of policies and procedures


  • Legal / Regulatory background preferred
  • Fluency in English (reading, speaking and writing)
  • Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
  • Quick learner who can adapt well to a fluid regulatory and business environment
  • Ability to handle multiple tasks simultaneously, and to work effectively in a team
  • Organized, detail-oriented, enthusiastic and professional
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 .

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://

© The Goldman Sachs Group, Inc., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
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