Compliance, GS Bank Compliance, Sr. Analyst/ Associate

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Goldman Sachs USA
  • 19 Feb 18 2018-02-19

Compliance, GS Bank Compliance, Sr. Analyst/ Associate


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, serviles 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 candidate will be an integral member of the GS Bank Compliance team and Regulatory Practice Group, working on a variety of programs. The candidate will assist business compliance officers on various tasks and initiatives, consumer-related vendor management reviews, regulatory exams and inquiries, and general project management. In addition, the candidate will support the firmwide Compliance Risk Management Program. The position requires analytical skills; the ability to work on multiple tasks while maintaining attention to detail; and satisfying high priority and time-sensitive deliverables on a day-to-day basis. The candidate will be required to interact and manage work flow involving both business (e.g., Private Bank within the Investment Management Division) and Federation groups (e.g., Legal, Technology, Operations).


  • Assist compliance officers in executing Compliance Risk Management Program
  • Assess incidents for potential breaches of firm policy and confidentiality standards, and help determine course of action
  • Assist in the development and preparation of presentations
  • Source data necessary to facilitate responses to regulatory requests and internal investigations and audits
  • Assist with the implementation and tracking of training
  • Work on various projects and programs, including providing policy guidance on Compliance risk assessments, the firm's Required Absence Program and cross-departmental initiatives
  • Monitor and track progress of various projects, working with multiple stakeholders
  • Support due diligence reviews of clients and vendors

  • Bachelor's Degree
  • Knowledge of the banking or financial services industry
  • Strong organizational and project management skills
  • Experience leading small or medium scale projects
  • Excellent communication skills (oral and written) and relationship building abilities
  • Strong proficiency in Microsoft Office tools: Word, Excel, and PowerPoint
  • Highly organized with excellent attention to detail and follow through, holds task owners accountable and works effectively to deadlines
  • Comfortable managing multiple stakeholders, driving consensus across many points of view and influencing outcomes
  • Results-oriented - ability to balance multiple, time-sensitive projects while contributing to a longer term, strategic focus
  • Commitment to excellence and a high level of integrity

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.