Compliance, Financial Crime, Analyst/Associate, Zurich

  • Competitive
  • Zurich, Switzerland Zurich Zurich CH
  • Permanent, Full time
  • Goldman Sachs International
  • 20 Apr 18 2018-04-20

See job description for details

MORE ABOUT THIS JOB 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.

The Financial Crime Compliance Group is seeking an analyst/associate that offers the opportunity to work on a variety of different projects and tasks. In this role, the analyst/associate will gain an overall understanding of financial crime compliance while developing functional skills relating to surveillance reviews and compliance research. The analyst/associate will work closely with compliance, operations, technology and business personnel, and would be expected to quickly gain an understanding of the firm's businesses and the rules and regulations under which the firm operates. The ideal candidate would have strong analytical skills, the ability to adapt quickly to new environments and the ability to collaborate with others.

RESPONSIBILITIES AND QUALIFICATIONS RESPONSIBILITIES

  • Conduct enhanced due diligence reviews of high risk clients and prospective clients to identify potential legal, regulatory or reputational risk. Due diligence can include independent media and public records research, the use of various vendor due diligence tools and public databases and the review of due diligence reports.
  • Perform in-depth investigations of potentially suspicious activity. The investigative process can include reviewing account activity, trade and payment records, public records, including regulatory filings and financial reports, and coordinating with compliance and business representatives to fully understand and document unusual and potentially suspicious activity.
  • Review, investigate and resolve transaction surveillance, sanctions screening and e-communications surveillance alerts.
  • Draft comprehensive investigative due diligence reports and file suspicious activity reports.
  • Advise the business, Compliance and Operations personnel regarding the application of AML policies, procedures and regulations.
  • Liaise with Internal Audit with respect to AML-related audits.
  • Liaise with regulators for AML exams, including document production and presentations to explain the firm's AML controls.
  • Conduct AML training for GS Bank personnel.
  • Advise the business on AML and reputational risk issues.

QUALIFICATIONS
  • Ability to work independently yet still be team-oriented
  • Ability to prioritize work flows and ensure deadlines are met
  • Strong analytics and risk assessment skills
  • Excellent written and verbal communication skills
  • Proactive, self-motivated, well-organized and detail oriented
  • Prior AML or Compliance experience would be a bonus
  • Brokerage experience with knowledge of the securities industry and products
  • Ability to forge strong relationships with colleagues and clients


ABOUT GOLDMAN SACHS The Goldman Sachs Group, Inc. is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in all major financial centers around the world.

© The Goldman Sachs Group, Inc., 2018. All rights reserved Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Vet.